Halifax Share Dealing Limited

• Principal Place of Business

  Lloyds Banking Group plc

  11-12 Wellington Place

  Leeds

  LS1 4AP

  UNITED KINGDOM

  Phone

  +441132703685

  Web

  http://www.halifax.co.uk

• Complaints Contact

  Lloyds Banking Group plc

  11-12 Wellington Place

  Leeds

  LS1 4AP

  UNITED KINGDOM

  Phone

  +441132703685

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Share, Unit

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  • · May only deal on own account in MiFID financial instruments for the purpose of (i) fulfilling or executing a client order or (ii) gaining entrance to a clearing and settlement system or a recognised exchange when acting in an agency capacity or executing a client order.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Adam Geoffrey Michael Collett

  IRN AGC01155

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 16 Jan 2020)
  • [FCA CF] Client dealing (since 16 Jan 2020)
  • CF30 Customer (9 Jul 2018 to 8 Dec 2019)
• Adrian Paul Walkling

  IRN APW01085

  • Director of firm who is not a certification employee or a SMF manager (23 Sep 2021 to 1 Aug 2023)
• Alasdair Angus MacFarlane

  IRN AAM01076

  • CF11 Money Laundering Reporting (15 Sep 2005 to 12 Jun 2009)
• Alexander Peter Crow

  IRN APC01206

  • CF30 Customer (14 Jul 2015 to 4 Aug 2017)
• Alison Jane Hewitt

  IRN AJH01559

  • CF10 Compliance Oversight (12 Aug 2011 to 30 May 2013)
  • CF11 Money Laundering Reporting (12 Aug 2011 to 8 Jan 2013)
• Alison Mary Teggart

  IRN AMT01095

  • CF30 Customer (1 Nov 2007 to 2 Mar 2015)
  • CF26 Customer Trading (4 Nov 2004 to 31 Oct 2007)
• Alistair Linn Webster

  IRN ALW01050

  • CF14 Risk Assessment (1 Dec 2001 to 30 Dec 2003)
• Amit Thawani

  IRN AXT00586

  • SMF24 Chief Operations (since 1 Sep 2024)
• Amy Bone

  IRN AXB80444

  • SMF10 Chair of the Risk Committee (19 Jan 2021 to 1 Nov 2023)
  • Director of firm who is not a certification employee or a SMF manager (14 Oct 2020 to 18 Jan 2021)
• Andrew David Raby

  IRN ADR01059

  • CF30 Customer (1 Nov 2007 to 6 Apr 2015)
  • CF29 Significant management (1 Nov 2007 to 27 Jan 2014)
  • CF26 Customer Trading (21 Jul 2003 to 31 Oct 2007)
  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 31 Oct 2007)

• The Motley Fool Ltd (no longer appointed)

  FRN 422737 · Appointed 25 Aug 2006 · Until 15 Mar 2015

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