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

  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.

• 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

  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.

• Andrew Clayden

  IRN AXC00590

  • [FCA CF] Material risk taker (since 9 Nov 2023)
  • [FCA CF] Significant management (since 25 Mar 2021)
  • [FCA CF] Material risk taker (25 Mar 2021 to 8 Jul 2021)
• Andrew Lemon

  IRN AXL73850

  • [FCA CF] Client dealing (10 Jun 2021 to 22 Feb 2023)
  • [FCA CF] Manager of certification employee (10 Jun 2021 to 22 Feb 2023)
  • [FCA CF] Material risk taker (10 Jun 2021 to 8 Jul 2021)
  • [FCA CF] Significant management (10 Jun 2021 to 22 Feb 2023)
• Andrew Michael Franks

  IRN AMF01083

  • [FCA CF] Material risk taker (25 Mar 2021 to 8 Jul 2021)
  • [FCA CF] Client dealing (1 Mar 2021 to 25 Feb 2025)
  • [FCA CF] Manager of certification employee (1 Mar 2019 to 25 Feb 2025)
  • [FCA CF] Significant management (1 Mar 2019 to 25 Feb 2025)
  • [FCA CF] Proprietary trader (1 Mar 2019 to 25 Feb 2025)
• Andrew Osborne

  IRN ATO01006

  • [FCA CF] Material risk taker (25 Mar 2021 to 8 Jul 2021)
  • [FCA CF] Significant management (1 Mar 2019 to 7 Apr 2022)
• Anirban De

  IRN AXD74485

  • [FCA CF] Significant management (since 4 Aug 2022)
  • [FCA CF] Client dealing (since 7 Apr 2020)
  • [FCA CF] Proprietary trader (since 1 Mar 2020)
  • [FCA CF] Manager of certification employee (4 Aug 2022 to 1 Aug 2025)
  • [FCA CF] Client dealing (1 Mar 2019 to 29 Feb 2020)
• Ansa Kanwal Javed Khan

  IRN AXJ00358

  • [FCA CF] Manager of certification employee (9 Mar 2023 to 1 Feb 2024)
  • [FCA CF] Significant management (6 Jan 2023 to 1 Feb 2024)
• Anthony Creese

  IRN AXC00669

  • [FCA CF] Client dealing (since 2 Dec 2021)
• Anthony Foster

  IRN AXF01390

  • [FCA CF] Client dealing (since 1 Mar 2022)
  • [FCA CF] Manager of certification employee (2 Apr 2024 to 1 Aug 2025)
• Anthony Kurukgy

  IRN AXK00498

  • [FCA CF] Client dealing (since 21 Mar 2022)
• Arif Gulamahmed Patel

  IRN AXP01062

  • [FCA CF] Significant management (since 25 Nov 2024)

No changes recorded yet.