Northern Trust Investor Services Limited

• Principal Place of Business

  50 Bank Street

  Canary Wharf

  London

  E14 5NT

  UNITED KINGDOM

  Phone

  +442079822000

  Web

  https://www.ntrs.com

• Complaints Contact

  50 Bank Street

  Canary Wharf

  London

  E14 5NT

  UNITED KINGDOM

  Phone

  +442079822000

• Retail Fund Guardian

• Specialist Fund Guardian

• Private Fund Guardian

• Authorised to Operate

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  • · 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, 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 (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• 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, 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 (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)" 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, 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 (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)" is limited to the investment types granted for this activity.

• Trades With You Directly

  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, 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 (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• 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, 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 (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)" is limited to the investment types granted for this activity.

• Holds Your Assets

  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, 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 (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)" is limited to the investment types granted for this activity.

• Adam Hallsworth

  IRN AXH73847

  • [FCA CF] Significant management (since 25 May 2021)
• Alicia Olivia Paternott

  IRN AXP00769

  • [FCA CF] Client dealing (2 Feb 2023 to 27 Jun 2025)
• Alison Margaret Clare

  IRN AMC01329

  • SMF16 Compliance Oversight (19 May 2021 to 28 May 2021)
• Alison Pain

  IRN AXP23142

  • SMF3 Executive Director (since 12 Mar 2025)
  • SMF24 Chief Operations (since 19 May 2021)
• Andrew Buntain Orr

  IRN AXO01200

  • [FCA CF] Client dealing (since 21 Aug 2023)
• Anirban De

  IRN AXD74485

  • [FCA CF] Significant management (since 4 Aug 2022)
  • [FCA CF] Proprietary trader (since 25 May 2021)
  • [FCA CF] Client dealing (since 25 May 2021)
  • [FCA CF] Manager of certification employee (4 Aug 2022 to 1 Aug 2025)
• Anne Marie Guinan

  IRN AXG00925

  • [FCA CF] Significant management (9 Aug 2024 to 29 Jan 2026)
• Ansa Kanwal Javed Khan

  IRN AXJ00358

  • [FCA CF] Manager of certification employee (9 Mar 2023 to 1 Feb 2024)
  • [FCA CF] Significant management (28 Sep 2022 to 1 Feb 2024)
• Benjamin David Collison

  IRN BXC00178

  • [FCA CF] Significant management (25 May 2021 to 3 Nov 2025)
• Carol Marie O’Connor

  IRN CXO00094

  • [FCA CF] Significant management (since 27 Sep 2023)

No changes recorded yet.