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

  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.

• 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

  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.

• 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

  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.

• 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

  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.

• 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.

• Robert Alan Devey

  IRN RAD01109

  • CF29 Significant management (18 May 2009 to 16 Nov 2009)
• Robert Christopher Bodsworth

  IRN RCB01203

  • 14. Managing investments
  • [FCA CF] Client dealing (since 16 Jan 2020)
  • [FCA CF] Functions requiring qualifications (since 16 Jan 2020)
  • CF30 Customer (26 Apr 2016 to 8 Dec 2019)
• Robert Francis Allan Brooks

  IRN RFB01043

  • CF28 Systems and controls (1 Nov 2007 to 11 May 2009)
  • CF14 Risk Assessment (2 Sep 2005 to 31 Oct 2007)
• Robert Joseph McGee

  IRN RJM01434

  • CF28 Systems and controls (26 Jun 2009 to 16 Nov 2012)
• Robert Michael Wood

  IRN RMW01126

  • CF2 Non Executive Director (28 Jan 2005 to 14 Oct 2005)
• Rose Marie St Louis

  IRN RMS00016

  • [FCA CF] Material risk taker (2 Sep 2024 to 3 Sep 2024)
• Roy Darcey

  IRN RXD01168

  • CF28 Systems and controls (1 Nov 2007 to 30 Dec 2007)
  • CF1 Director (5 Apr 2002 to 30 Dec 2007)
  • CF13 Finance (1 Dec 2001 to 29 Aug 2003)
  • CF14 Risk Assessment (1 Dec 2001 to 31 Oct 2007)
• Ruth Louise Anderson

  IRN RXA00226

  • Director of firm who is not a certification employee or a SMF manager (23 Sep 2021 to 1 Nov 2023)
• Scott Cameron Guild

  IRN SXG14518

  • SMF2 Chief Finance (1 Aug 2023 to 31 Aug 2024)
  • SMF3 Executive Director (9 Dec 2019 to 31 Aug 2024)
  • CF1 Director (13 Sep 2019 to 8 Dec 2019)
• Sean Carl Quinn

  IRN SCQ00003

  • CF2 Non Executive Director (18 Dec 2017 to 20 Dec 2018)
  • CF1 Director (17 Jul 2015 to 18 Dec 2017)
  • CF3 Chief Executive (17 Jul 2015 to 18 Dec 2017)

• The Motley Fool Ltd (no longer appointed)

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

No changes recorded yet.