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Regulatory Status

Introduction

Capita Asset Services is a trading name of companies which offer a range of services, principally shareholder solutions, treasury solutions, banking & debt solutions, fund solutions, corporate solutions, and private client solutions. All of the companies are wholly owned subsidiaries of Capita plc and operate within the Capita Asset Services division of Capita plc. For more information on Capita plc, please visit www.capita.co.uk.

Use of the Capita Asset Services website is subject to the terms and conditions set out below and the laws of England.

The jurisdictions in which Capita Asset Services operates and the principal companies through which it operates are set out below. Terms of business are available on request.

Shareholder and Treasury solutions

Shareholder solutions are provided by: 

United Kingdom: Shareholder solutions including registration services and investor relations services are provided by Capita Registrars Limited, (registered in England and Wales, No. 2605568). Share dealing services, share plan services and other regulated services are provided by Capita IRG Trustees Limited (CIRGT), (registered in England and Wales No. 2729260). CIRGT is authorised and regulated by the Financial Conduct Authority, register number: 184113. Not all share plan activity is regulated. Registered office of each of these companies is The Registry, 34 Beckenham Road, Beckenham, Kent BR3 4TU.

Ireland: Shareholder solutions and associated services are provided by Capita Registrars (Ireland) Limited. Registered Office: 2 Grand Canal Square, Grand Canal Harbour, Dublin 2, D02 A342, Ireland. Registered in Ireland, Ireland No. 307313.

Jersey: Shareholder solutions and associated services are provided by Capita Registrars (Jersey) Limited, which is regulated by the Jersey Financial Services Commission for the conduct of Fund Services Business. Registered office: 12 Castle Street, St Helier, Jersey JE2 3RT. Registered in Jersey No. 64502.

Guernsey: Shareholder solutions and associated services are provided by Capita Registrars (Guernsey) Limited, which is licensed and regulated by the Guernsey Financial Services Commission under the Protection of Investors (Bailiwick of Guernsey) Law 1987, as amended.  Registered office: Mont Crevelt House, Bulwer Avenue, St Sampson, Guernsey GY2 4LH. Registered in Guernsey No. 38018.

Isle of Man: Shareholder solutions and associated services are provided by Capita Registrars (Isle of Man) Limited, which is licensed by
the Isle of Man Financial Services Authority. Registered office: Clinch's House, Lord Street, Douglas, Isle of Man, IM99 1RZ. Registered in the Isle of Man No. 118797C.

Treasury solutions are provided by:

United Kingdom: Regulated activities are provided by Capita Treasury Solutions Limited (registered in England and Wales No. 2652033). Capita Treasury Solutions Limited is authorised and regulated by the Financial Conduct Authority only for conducting advisory and arranging activities in the UK as part of its Treasury Management Service, FCA register number 150403. Registered office: 71 Victoria Street, London SW1H 0XA.

Fund solutions

United Kingdom: Fund solutions including acting as Authorised Corporate Director and fund administration services are provided by Capita Financial Managers Limited (registered in England and Wales No. 01146888), Capita Financial Investments Limited (registered in England and Wales No. 02823982) and Capita Financial Administrators Limited (registered in England and Wales No. 00934528). These three companies are authorised and regulated by the Financial Conduct Authority; register numbers: Capita Financial Managers Limited 119197; Capita Financial Investments Limited 169586 and Capita Financial Administrators Limited 121795. Registered office for all three companies: 17 Rochester Row, London SW1P 1QT.

Complaints concerning any of the funds to which Capita Fund Managers Limited (CFM) acts as operator or the product to which Capita Financial Investments Limited (CFI) acts as ISA Manager, may be referred to the Complaints Department, Capita Financial Managers Limited or Capita Financial Investments Limited (as appropriate), Arlington Business Centre, Millshaw Park Lane, Leeds, LS11 0PA, by email to investorservices@capita.co.uk or by telephone to 0345 922 0044. If after due consideration CFM / CFI rejects your complaint, you may have the right to refer the matter to the Financial Ombudsman Service at Exchange Tower, London E14 9SR.  A copy of CFM/CFI's Complaint Guide is available on request.

Jessop Fund Managers Limited (Registered in England and Wales no 5768993) is authorised and regulated by the Financial Conduct Authority. FCA Register Number 452904. Registered office: 17 Rochester Row, London SW1P 1QT.

Capita Sinclair Henderson Limited (registered in England and Wales No. 02056193) also provides fund administration services.  It is registered with HM Revenue and Customs for the purposes of the Money Laundering Regulations 2007. Registered office: The Registry, 34 Beckenham Road, Beckenham, Kent BR3 4TU.

Ireland: Fund solutions including providing UCITS Management Company and Alternative Investment Manager services are provided by Capita Financial Administrators (Ireland) Limited (registered in Ireland No. 415878) and Capita Financial Managers (Ireland) Limited (registered in Ireland No. 415879) which are authorised by the Central Bank of Ireland.  Registered office of both these companies: Second Floor, 2 Grand Canal Square, Grand Canal Harbour, Dublin 2, Ireland.

Jersey: Fund solutions are provided by Capita Financial Administrators (Jersey) Limited (registered in Jersey No. 86301), Capita Trust Company (Jersey) Limited (registered in Jersey No. 702), Capita Trustees Limited (registered in Jersey No. 58034) and Forbrit Trustees Limited (registered in Jersey No. 64208) which are licensed and regulated by the Jersey Financial Services Commission for the conduct of Fund Services Business and or as a permit holder pursuant to the Collective Investment Funds (Jersey) Law 1988. Registered office: 12 Castle Street, St Helier, Jersey JE2 3RT.

Guernsey: Fund solutions are provided by Capita Alternative Fund Services (Guernsey) Limited, which is licensed and regulated by the Guernsey Financial Services Commission under the Protection of Investors (Bailiwick of Guernsey) Law 1987, as amended. Registered office: Mont Crevelt House, Bulwer Avenue, St Sampson, Guernsey GY2 4LH. Registered in Guernsey No. 1098.

Corporate and private client solutions

United Kingdom: Capita Trust Company Limited (Registered in England and Wales No. 239726), which is registered with HM Revenue and Customs for the purposes of the Money Laundering Regulations 2007, Capita Pension Trustees Limited (Registered in England and Wales No. 03030424) and Capita ATL Pension Trustees Limited (Registered in England and Wales No. 02317256).  Registered office of these three companies is The Registry, 34 Beckenham Road, Beckenham, Kent BR3 4TU.

Outsourced accounting, payroll, tax, HR and company secretarial services are offered by Throgmorton UK Limited, (registered in England and Wales, No 3853848). Registered office: 17 Rochester Row, London, SW1P 1QT England, VAT number 618 1841 40. Throgmorton UK Limited is registered with HM Revenue and Customs for the purposes of the Money Laundering Regulations 2007.

Company secretarial services are also provided by Capita Registrars Limited. Registered office: The Registry, 34 Beckenham Road, Beckenham, Kent BR3 4TU. Registered in England and Wales, No. 2605568.

Jersey: Corporate and private client solutions are provided by Capita Fiduciary Group Limited (registered in Jersey No. 92185) and some of its direct and indirect subsidiaries and affiliates which are licensed and regulated by the Jersey Financial Services Commission for the conduct of Trust Company Business.  Registered office: 12 Castle Street, St Helier, Jersey JE2 3RT.

The Netherlands: Corporate and private client solutions are provided by Capita Asset Services B.V., which is regulated by De Nederlandsche Bank and has a license to operate as a Trust Office under the Act on the Supervision of Trust Offices. Registered office: Jachthavenweg, 109H, 1081 KM Amsterdam, The Netherlands.

Luxembourg: Corporate and private client solutions are provided by Capita Fiduciary S.A., which is supervised by the Commission de Surveillance du Secteur Financier as a Professional of the Financial Sector to exercise the activities of (i) Corporate domiciliation agent in accordance with Art. 28-9 (ii) Professionals providing company formation and management services in accordance with Art 28-10 (iii) Client communication agent in accordance with Art 29-1 (iv) Administrative agents of the financial sector in accordance with Art. 29-2 and (v) registrar in accordance with Art. 25 of the law relative to the financial sector of 5 April 1993, as amended (the "Law"). Registered office: 9, allée Scheffer, L-2520 Luxembourg. R.C.S. Luxembourg B 117939. 

Ireland: Corporate and private client solutions are provided by Capita Trust Company (Ireland) Limited and Capita International Financial Services (Ireland) Limited. Capita Trust Company (Ireland) Limited and Capita International Financial Services (Ireland) Limited are registered with the Department of Justice and Equality as Trust or Company Services Providers under the Criminal Justice (Money Laundering and Terrorist Financing) Act 2010, as amended.  Registered offices: 2 Grand Canal Square, Grand Canal Harbour, Dublin 2, D02 A342. Registered in Ireland No. 163472 and No. 129223 respectively. 

Switzerland: Corporate and private client solutions are provided by Capita International Financial Services (Schweiz) GmbH, which is regulated by PolyReg Allg. Selbstregulierungs-Verein in accordance with anti-money laundering regulatory requirements. Registered office: Hardturmstrasse 101, 8005 Zurich.

Hungary: Corporate and private client solutions are provided by Capita Hungary LLC, which is regulated by the National Tax and Customs Administration (NTCA) Financial Intelligence Unit in accordance with anti-money laundering regulatory requirements. Registered office: Dohány utca 12, 2nd Floor, H-1074 Budapest, Hungary.

Banking & Debt Solutions

United Kingdom: Capita Asset Services (UK) Limited (registered in England and Wales No. 03376447). Registered office: 17 Rochester Row, Westminster, London, SW1P 1QT.

Capita Asset Services (London) Limited (registered in England and Wales No. 05309552). Registered office: 17 Rochester Row, Westminster, London, SW1P 1QT.

Capita Mortgage Services Limited. Registered in England and Wales, 00912411. Registered office: 17 Rochester Row, London SW1P 1QT. Capita Mortgage Services Limited is authorised and regulated by the Financial Conduct Authority, Register Number: 306235.

Rooftop Mortgages Limited. Registered in England and Wales under Company Number: 04621865. Registered Office: 17 Rochester Row, London, United Kingdom, SW1P 1QT. Authorised and regulated by the Financial Conduct Authority, Register Number: 303059. 

Euristix Limited. Registered in England and Wales, 05420948. Registered office: 17 Rochester Row, London SW1P 1QT. 

Netherlands: Capita Debt Solutions (Netherlands) B.V. Registered office: Jachthavenweg 109H, 1081 KM, Amsterdam, The Netherlands, registered at the trade register of the Chamber of Commerce under number 63866161. Capita Debt Solutions (Netherlands) B.V.  is authorised and regulated by the Autoriteit Financiële Markten  (“Dutch Authority for the Financial Markets”), Register Number: 12043472.

Ireland: Capita Asset Services (Ireland) Limited. Registered office: Block C, Maynooth Business Campus, Maynooth, County Kildare, W23 F854. Registered in Ireland No. 315348.

Germany: Capita Asset Services GmbH registered at the Amtsgericht Frankfurt.  Registered Address is: Große Bockenheimer Strasse 50, 60313 Frankfurt. Commercial register Amtsgericht Frankfurt: HRB 57169.

Representative offices

Representative Office – United States

Capita Asset Services (US) is the US representative office of Capita Trust Company (Ireland) Limited. Capita Asset Services (US) is not an agent and does not have the authority to act on behalf of the other companies in the Capita Asset Services Division or any other part of Capita plc.  Capita Asset Services (US) operates under the laws of the State of New York and is also subject to various federal laws, including applicable U.S. anti-money laundering and anti-terrorist financing laws. Capita Asset Services (US) is not authorised to carry out regulated business in the USA or in the European Union. The US contact address is: 36 Cooper Square, Suite 4R, New York, NY 10003.

Representative Office – Dubai

Capita Asset Services is a trading name of Capita Fiduciary Group Limited, DIFC Representative Office  which is regulated by the Dubai Financial Services Authority as a Representative Office . Registered offices: Office 33 Level 3, Gate Village, Building 10, Dubai International Financial Centre, Dubai, 49983, United Arab Emirates.Capita Asset Services is a trading name of Capita Fiduciary Group Limited (registered in Jersey No. 92185)  and some of its direct and indirect subsidiaries and affiliates, which are licensed and regulated by the Jersey Financial Services Commission for the conduct of Trust Company Business and / or Fund Services Business and/ or as permit holders pursuant to the Collective Investment Funds (Jersey) Law 1988.