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.

• Daniel John Watkins

  IRN DJW01231

  • CF10 Compliance Oversight (2 Jun 2005 to 5 Sep 2007)
  • CF14 Risk Assessment (2 Jun 2005 to 5 Sep 2007)
• David Alexander Grant

  IRN DAG01162

  • CF11 Money Laundering Reporting (8 Jan 2013 to 13 May 2015)
• David Andrew Firth

  IRN DAF01083

  • CF28 Systems and controls (1 Nov 2007 to 2 Apr 2009)
  • CF15 Internal Audit (12 Jul 2005 to 31 Oct 2007)
• David Arthur Hobday

  IRN DAH01190

  • CF2 Non Executive Director (15 Apr 2004 to 31 Dec 2004)
  • CF1 Director (26 Nov 2003 to 24 Mar 2004)
• David Gordon

  IRN DXG01264

  • CF11 Money Laundering Reporting (1 Dec 2001 to 28 Feb 2005)
• David James Walkden

  IRN DJW01236

  • CF2 Non Executive Director (1 Dec 2001 to 14 Feb 2002)
• David Pepper

  IRN DXP02274

  • CF28 Systems and controls (9 Dec 2016 to 8 Jan 2018)
• David Richard Fryatt

  IRN DRF01037

  • CF28 Systems and controls (1 Nov 2007 to 2 Apr 2009)
  • CF15 Internal Audit (1 Dec 2001 to 31 Oct 2007)
• Debbie Jane Price

  IRN DJP01260

  • CF11 Money Laundering Reporting (28 Nov 2005 to 20 Jun 2007)
• Deborah Lee Llewelyn

  IRN DXL00284

  • Director of firm who is not a certification employee or a SMF manager (1 Sep 2024 to 18 Mar 2025)

• The Motley Fool Ltd (no longer appointed)

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

No changes recorded yet.