Northern Trust Global Services SE

• Principal Place of Business

  50 Bank Street

  London

  E14 5NT

  UNITED KINGDOM

  Phone

  +442079822000

  Web

  https://www.northerntrust.com

• Complaints Contact

  50 Bank Street

  Canary Wharf

  E14 5NT

  UNITED KINGDOM

  Phone

  +442079822000

• Bank Deposits

  For Eligible Counterparty, Professional, Deposit

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

• Authorised to Operate

• Arranges Investments

  For Eligible Counterparty, Professional, Alternative Debenture, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), 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)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Alternative Debenture, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

• Stockbroking

  For Eligible Counterparty, Professional, Alternative Debenture, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), 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)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Alternative Debenture, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), 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)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Alternative Debenture, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), 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)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Alternative Debenture, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

• Holds Your Assets

  For Eligible Counterparty, Professional, Alternative Debenture, Binary Bet, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Debenture, Share, 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.

• Adam Hallsworth

  IRN AXH73847

  • SMF2 Chief Finance (since 17 Jul 2024)
  • [FCA CF] Significant management (1 Mar 2019 to 17 Jul 2024)
• Adam Wintle

  IRN AEW01079

  • [FCA CF] Client dealing (since 3 Apr 2023)
  • [FCA CF] Proprietary trader (since 3 Apr 2023)
  • [FCA CF] Algorithmic trading (1 Mar 2019 to 3 Apr 2023)
• Adnan Hameed

  IRN AXH00883

  • [FCA CF] Significant management (since 22 Feb 2023)
• Alicia Olivia Paternott

  IRN AXP00769

  • [FCA CF] Client dealing (2 Feb 2023 to 1 Mar 2024)
• Alison Margaret Clare

  IRN AMC01329

  • [FCA CF] Material risk taker (25 Mar 2021 to 28 May 2021)
  • [FCA CF] Significant management (25 Mar 2021 to 28 May 2021)
• Alison Pain

  IRN AXP23142

  • SMF24 Chief Operations (since 10 Nov 2022)
  • SMF24 Chief Operations (6 Apr 2021 to 10 Nov 2022)
• Allen David Oakley

  IRN AXO00118

  • [FCA CF] Significant management (17 May 2021 to 2 May 2023)
• Anais Le Clainche

  IRN AXL73848

  • [FCA CF] Client dealing (1 Mar 2019 to 28 Jul 2025)
• Andrew Bryan

  IRN AXB73849

  • [FCA CF] Algorithmic trading (since 1 Mar 2019)
• Andrew Buntain Orr

  IRN AXO01200

  • [FCA CF] Client dealing (21 Aug 2023 to 1 Mar 2024)

No changes recorded yet.