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.

• Clive Bellows

  IRN CAB01095

  • [FCA CF] Manager of certification employee (since 1 Mar 2025)
• Clodagh Ann Cahill

  IRN CXC00720

  • [FCA CF] Client dealing (since 9 Feb 2026)
  • [FCA CF] Client dealing (4 Sep 2023 to 24 Jan 2025)
• Craig Blackbourn

  IRN CAB01240

  • [FCA CF] Material risk taker (25 Mar 2021 to 8 Jul 2021)
  • [FCA CF] Client dealing (1 Mar 2020 to 1 Mar 2024)
  • [FCA CF] Manager of certification employee (18 Apr 2019 to 1 Mar 2024)
  • [FCA CF] Significant management (1 Mar 2019 to 1 Mar 2024)
• Craig Fleming

  IRN CXF00149

  • [FCA CF] Significant management (29 Mar 2021 to 1 Mar 2024)
• Daniel Smith

  IRN DJS01364

  • [FCA CF] Manager of certification employee (since 1 May 2020)
  • [FCA CF] Client dealing (since 7 Apr 2020)
  • [FCA CF] Proprietary trader (since 1 Mar 2020)
  • [FCA CF] Significant management (since 1 Mar 2020)
  • [FCA CF] Client dealing (1 Mar 2019 to 29 Feb 2020)
• Danielle Ford

  IRN DXF01506

  • [FCA CF] Client dealing (1 Mar 2019 to 20 Apr 2021)
• Darren James Banks

  IRN DJB01500

  • [FCA CF] Material risk taker (25 Mar 2021 to 8 Jul 2021)
  • [FCA CF] Significant management (11 Mar 2019 to 6 May 2022)
• Darren Seary

  IRN DXS87735

  • [FCA CF] Material risk taker (since 9 Nov 2023)
  • [FCA CF] Significant management (since 6 Apr 2021)
  • [PRA CF] Significant risk taker or Material risk taker (21 Aug 2019 to 21 Aug 2019)
• David Mapplebeck

  IRN DXM73853

  • [FCA CF] Significant management (since 1 Mar 2019)
  • [FCA CF] Manager of certification employee (8 Jan 2025 to 1 Sep 2025)
• David Marlborough

  IRN DXM02436

  • [FCA CF] Manager of certification employee (since 22 Dec 2025)
  • SMF4 Chief Risk (14 Jun 2023 to 22 Dec 2025)
  • [FCA CF] Material risk taker (10 May 2023 to 14 Jun 2023)

No changes recorded yet.