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

  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.

• Laura Tumbridge

  IRN LXT74518

  • [FCA CF] Material risk taker (since 6 Jan 2023)
  • [FCA CF] Significant management (since 6 Jan 2023)
• Laurel King

  IRN LXK81038

  • [FCA CF] Client dealing (26 May 2020 to 26 Feb 2025)
• Laurence Everitt

  IRN LXE01079

  • SMF19 Head of Overseas Branch/Head of Overseas (since 6 Apr 2021)
  • SMF21 EEA Branch Senior Manager (EBSM) (1 Mar 2019 to 10 Nov 2022)
• Lee Moreland

  IRN LXM00280

  • [FCA CF] Significant management (12 Apr 2021 to 28 Mar 2025)
• Lei Yan

  IRN LXY73858

  • SMF22 Other Local Responsibility (since 4 Oct 2024)
  • [FCA CF] CASS oversight function (1 Mar 2019 to 4 Oct 2024)
• Leigh Yeoland

  IRN LXY09293

  • [FCA CF] Significant management (since 1 Aug 2024)
  • [FCA CF] Significant management (23 Oct 2023 to 1 Mar 2024)
• Lisa Jane Topping

  IRN LXT00235

  • [FCA CF] Significant management (9 Mar 2023 to 18 Jul 2024)
• Louise Gowland

  IRN LXG00228

  • [FCA CF] Manager of certification employee (since 1 Mar 2025)
  • [FCA CF] Significant management (6 Jan 2023 to 20 Mar 2026)
• Malcolm Anthony Palmer

  IRN MAP00110

  • SMF21 EEA Branch Senior Manager (EBSM) (1 Mar 2019 to 6 Jul 2020)
• Marco Cencini

  IRN MXC01192

  • [FCA CF] Significant management (since 16 Sep 2024)

No changes recorded yet.