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

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  • · 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

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  • · 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.

• Carole Collier

  IRN CXC01162

  • [FCA CF] Manager of certification employee (since 19 Mar 2026)
  • [FCA CF] Significant management (18 Oct 2024 to 22 Dec 2025)
  • [FCA CF] Manager of certification employee (18 Oct 2024 to 29 Jan 2026)
• Carolyn Jane Aitchison

  IRN CXA01087

  • SMF10 Chair of the Risk Committee (since 19 May 2021)
  • SMF12 Chair of the Remuneration Committee (since 19 May 2021)
  • SMF11 Chair of the Audit Committee (since 19 May 2021)
• Catherine Anne Coltart

  IRN CXC00657

  • [FCA CF] Significant management (since 6 Dec 2023)
• Chris Stafford

  IRN CXS73851

  • [FCA CF] Significant management (25 May 2021 to 30 Sep 2022)
• Clive Bellows

  IRN CAB01095

  • [FCA CF] Manager of certification employee (since 1 Mar 2025)
  • [FCA CF] Significant management (19 Jun 2024 to 16 Mar 2026)
  • [FCA CF] Material risk taker (19 Jun 2024 to 16 Mar 2026)
• Craig Blackbourn

  IRN CAB01240

  • [FCA CF] Significant management (since 25 May 2021)
  • [FCA CF] Client dealing (since 25 May 2021)
  • [FCA CF] Manager of certification employee (since 25 May 2021)
  • [FCA CF] Material risk taker (since 25 May 2021)
• Daniel Smith

  IRN DJS01364

  • [FCA CF] Material risk taker (since 10 May 2022)
  • [FCA CF] Proprietary trader (since 25 May 2021)
  • [FCA CF] Significant management (since 25 May 2021)
  • [FCA CF] Client dealing (since 25 May 2021)
  • [FCA CF] Manager of certification employee (since 25 May 2021)
• Darren James Banks

  IRN DJB01500

  • SMF24 Chief Operations (since 19 May 2021)
  • SMF3 Executive Director (since 19 May 2021)
• Darren Lewis

  IRN DXL00237

  • [FCA CF] Significant management (since 28 Jul 2021)
• Darren Seary

  IRN DXS87735

  • [FCA CF] Material risk taker (since 1 Nov 2021)
  • [FCA CF] Significant management (since 25 May 2021)

No changes recorded yet.