Northern Trust Global Investments Limited

• Principal Place of Business

  50 Bank Street

  London

  E14 5NT

  UNITED KINGDOM

  Phone

  +4402079822000

  Web

  https://www.northerntrust.com

• Complaints Contact

  50 Bank Street

  London

  E14 5NT

  UNITED KINGDOM

  Phone

  +4402079822000

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, 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, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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 2 limitations Hide limitations

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

• Authorised to Operate

  Show 1 limitation Hide limitations

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

• Arranges Investments

  For Eligible Counterparty, Professional, 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, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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 2 limitations Hide limitations

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

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, 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, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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.

• Stockbroking

  For Eligible Counterparty, Professional, 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, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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 2 limitations Hide limitations

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

• Investment Setup

  For Eligible Counterparty, Professional, 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, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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 2 limitations Hide limitations

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

• Manages Your Portfolio

  For Eligible Counterparty, Professional, 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, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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 2 limitations Hide limitations

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

• Marie Dzanis

  IRN MXD02703

  • SMF1 Chief Executive (9 Dec 2019 to 26 Jun 2023)
  • SMF3 Executive Director (9 Dec 2019 to 26 Jun 2023)
  • CF1 Director (25 May 2018 to 8 Dec 2019)
  • CF3 Chief Executive (25 May 2018 to 8 Dec 2019)
• Marina Isabelle Marthe Marchand

  IRN MXM01281

  • CF30 Customer (1 Nov 2007 to 27 Mar 2009)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Mark Carlton Gossett

  IRN MCG01051

  • CF8 Apportionment and Oversight (17 Aug 2004 to 1 Nov 2004)
  • CF1 Director (27 Mar 2002 to 29 Feb 2012)
• Mark David Lacey

  IRN MDL01113

  • SMF24 Chief Operations (since 9 Dec 2019)
  • CF29 Significant management (8 Oct 2014 to 8 Dec 2019)
• Mark Harley Underhill

  IRN MHU01003

  • [FCA CF] Client dealing (1 Mar 2020 to 4 Jan 2022)
  • [FCA CF] Significant management (1 Mar 2020 to 2 Mar 2020)
  • CF30 Customer (17 Jan 2011 to 8 Dec 2019)
• Mark Insley

  IRN MXI01133

  • CF30 Customer (12 Feb 2008 to 16 Nov 2009)
• Mark Joseph Wirth

  IRN MJW01358

  • CF27 Investment Management (20 Jun 2002 to 24 Sep 2002)
• Mark Richard Fitzgerald

  IRN MRF01049

  • CF27 Investment Management (27 Jan 2003 to 26 Apr 2006)
• Markell DeAntre Henderson

  IRN MXH01244

  • [FCA CF] Client dealing (since 10 Jun 2024)
• Martha Fee

  IRN MXF02081

  • SMF24 Chief Operations (9 Dec 2019 to 18 Dec 2023)
  • SMF3 Executive Director (9 Dec 2019 to 18 Dec 2023)
  • CF1 Director (23 Oct 2017 to 8 Dec 2019)

No changes recorded yet.