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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 solutions, 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 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.

Company secretarial and investor relations 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.

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.

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 the operation of any funds offered by Capita Fund Managers Limited (CFM) may be referred to the Complaints Department, Capita Financial Managers Limited, 2 The Boulevard, City West One Office Park, Gelderd Road, Leeds LS12 6NT, by email to investorservices@capita.co.uk or by telephone to 0345 922 0044. Once CFM has considered 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'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.

Complaints concerning the operation of any funds offered by Jessop Fund Managers Limited (‘JFM’) may be referred to the Complaints Department, Jessop Fund Managers Limited, PO Box 1043, CHELTENHAM, GL50 9JB. Once JFM has considered your complaint, you may have the right to refer the matter free of charge to the Financial Ombudsman Service at Exchange Tower, London E14 9SR or by e-mail to complaint.info@financial-ombudsman.org.uk or by telephone to 0800 023 4567 or 0300 123 9123 (free for mobile phone users paying a monthly charge for calling phone numbers beginning with 01 or 02).  A copy of JFM's Complaint Guide is available on request.

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.

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 is registered with the Department of Justice and Equality as a Trust or Company Services Provider under the Criminal Justice (Money Laundering and Terrorist Financing) Act 2010, as amended.  Registered office: 2 Grand Canal Square, Grand Canal Harbour, Dublin 2, D02 A342. Registered in Ireland No. 163472. Capita International Financial Services (Ireland) Limited is regulated by the Central Bank of Ireland.  Registered office: 2 Grand Canal Square, Grand Canal Harbour, Dublin 2, D02 A342. Registered in Ireland No. 129223.

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: Bellerivestrasse 17, 8008 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.

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: 71 Victoria Street, Westminster, London, SW1H 0XA.

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.

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.

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.

UK Retail Banking

Retail Banking services are provided by:

Western Mortgage Services Limited. Registered in England and Wales, Company Number 03191608. Registered Office: 17 Rochester Row, London SW1P 1QT. Western Mortgage Services Limited is authorised and regulated by the Financial Conduct Authority (Firm Reference Number 303140).

Capita Mortgage Administration Limited. Registered in England and Wales, Company Number 2042968. Registered Office: 17 Rochester Row, London SW1P 1QT. Capita Mortgage Administration Limited is authorised and regulated by the Financial Conduct Authority (Firm Reference Number 306064).

Remediation Services are provided by Capita Remediation Services a trading name of Capita Retail Financial Services Limited. Registered in England and Wales No. 05296886. Registered Office 71 Victoria Street, Westminster, London, SW1H 0XA.

Optima Legal Services Limited. Registered in England and Wales, 05781608. Registered office: Hepworth House, Claypit Lane, Leeds, LS2 8AE. Optima Legal Services Limited is authorised and regulated by the Solicitors Regulation Authority in accordance with the SRA Code of Conduct.

Cost Advocates Limited. Registered in England and Wales, 04116378. Registered office: Floor 2 Ibex House, 42-47 Minories, London EC3N 1DY. Cost Advocates Limited is authorised and regulated by the Solicitors Regulation Authority in accordance with the SRA Code of Conduct.

akinika Debt Recovery Limited (Registered in England No 1242485).Registered office: akinika House, 33/34 Winckley Square, Preston PR1 3EL. Authorised and regulated by the Financial Conduct Authority for accounts formed under the Consumer Credit Act 1974 (amended 2006).

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: 200 Park Ave., Suite 1700, New York, NY 10166.

Representative Office – Dubai

Capita Fiduciary Group Limited, Dubai Representative Office (Dubai Rep Office) is a representative office of Capita Fiduciary Group Limited (registered in Jersey No. 92185) which is licensed and regulated by the Jersey Financial Services Commission.  The Dubai Rep Office is regulated by the Dubai Financial Services Authority as a representative office. Registered offices: Unit 42, Floor-3, Gate Village, Building 10, Dubai International Financial Centre, Dubai, 49983, United Arab Emirates.