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.

• DAVID PAUL CURTIN

  IRN DPC01125

  • CF29 Significant management (17 May 2012 to 31 Mar 2015)
• Daniel David Farrell

  IRN DDF01011

  • SMF18 Other Overall Responsibility (since 11 Dec 2021)
  • [FCA CF] Client dealing (1 Mar 2021 to 28 Feb 2022)
  • [FCA CF] Significant management (1 Mar 2020 to 28 Feb 2022)
  • [FCA CF] Manager of certification employee (1 Mar 2020 to 28 Feb 2022)
  • [FCA CF] Material risk taker (1 Mar 2020 to 28 Feb 2022)
  • CF30 Customer (28 Jun 2013 to 8 Dec 2019)
• Daniel Smith

  IRN DJS01364

  • CF30 Customer (1 Nov 2007 to 19 Dec 2012)
  • CF27 Investment Management (12 Apr 2005 to 31 Oct 2007)
• Darren Seary

  IRN DXS87735

  • [FCA CF] Significant management (since 1 Nov 2021)
  • [PRA CF] Significant risk taker or Material risk taker (since 16 Aug 2021)
• David Anthony Cooper

  IRN DAC01185

  • CF21 Investment Adviser (17 Mar 2004 to 14 Jul 2006)
  • CF22 Investment Adviser (Trainee) (1 Sep 2002 to 17 Mar 2004)
• David Blake

  IRN DMB01143

  • CF30 Customer (1 Nov 2007 to 9 Feb 2018)
  • CF27 Investment Management (13 Jan 2003 to 31 Oct 2007)
• David Crowe

  IRN DXC02532

  • [FCA CF] Client dealing (since 1 Mar 2020)
  • CF30 Customer (3 May 2016 to 8 Dec 2019)
• David James Rothon

  IRN DJR01195

  • CF30 Customer (1 Nov 2007 to 18 Jul 2012)
  • CF27 Investment Management (15 Jan 2007 to 31 Oct 2007)
  • CF26 Customer Trading (2 Feb 2006 to 15 Jan 2007)
  • CF21 Investment Adviser (4 Aug 2005 to 15 Jan 2007)
  • CF22 Investment Adviser (Trainee) (12 May 2004 to 4 Aug 2005)
• David Khaw

  IRN DXK01319

  • CF30 Customer (17 Sep 2008 to 13 Mar 2012)
• David Mapplebeck

  IRN DXM73853

  • [FCA CF] Manager of certification employee (8 Jan 2025 to 1 Sep 2025)
  • [FCA CF] Significant management (1 Mar 2020 to 2 Oct 2025)

No changes recorded yet.