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

  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.

• Joel Charles Ripley

  IRN JCR01076

  • CF1 Director (6 Jan 2012 to 29 Mar 2019)
• Joelle Louise Whiting

  IRN JLH01105

  • CF30 Customer (1 Nov 2007 to 29 Aug 2008)
  • CF26 Customer Trading (18 Aug 2004 to 31 Oct 2007)
• John Cullen

  IRN JXC01392

  • CF28 Systems and controls (1 Nov 2007 to 12 Jun 2009)
  • CF14 Risk Assessment (22 Aug 2007 to 31 Oct 2007)
  • CF10 Compliance Oversight (14 Mar 2007 to 12 Jun 2009)
• John Gerard McCann

  IRN JGM01051

  • CF16 Significant Mgt (Desgntd Investment Business) (18 Mar 2002 to 30 Sep 2002)
• John Morris

  IRN JXM01693

  • CF28 Systems and controls (1 Nov 2007 to 30 Jun 2009)
  • CF13 Finance (16 May 2005 to 31 Oct 2007)
• John Patrick O'Dwyer

  IRN JPO01060

  • SMF16 Compliance Oversight (9 Dec 2019 to 31 Aug 2024)
  • SMF4 Chief Risk (9 Dec 2019 to 31 Aug 2024)
  • SMF3 Executive Director (9 Dec 2019 to 1 Nov 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 Aug 2024)
  • CF11 Money Laundering Reporting (7 Jun 2019 to 8 Dec 2019)
  • CF1 Director (19 Dec 2017 to 8 Dec 2019)
  • CF10a CASS Oversight function (17 Sep 2015 to 8 Dec 2019)
  • CF10 Compliance Oversight (17 Sep 2015 to 8 Dec 2019)
  • CF28 Systems and controls (17 Sep 2015 to 8 Dec 2019)
• John Reid Leslie

  IRN JRL01040

  • CF16 Significant Mgt (Desgntd Investment Business) (30 Sep 2002 to 3 Jul 2003)
• Jonathan Burgess

  IRN JXB02876

  • CF28 Systems and controls (25 Mar 2013 to 2 Dec 2016)
• Jonathan Duffield

  IRN JRD01056

  • 14. Managing investments
  • [FCA CF] Manager of certification employee (since 10 Dec 2019)
  • [FCA CF] Client dealing (since 10 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 10 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 11 Sep 2014)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Jonathan Graydon Baum

  IRN JXB01584

  • CF11 Money Laundering Reporting (12 Jan 2009 to 12 Aug 2011)
  • CF28 Systems and controls (9 Jan 2008 to 31 Oct 2015)
  • CF10 Compliance Oversight (9 Jan 2008 to 12 Aug 2011)

• The Motley Fool Ltd (no longer appointed)

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

No changes recorded yet.