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

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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

  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.

• 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.

• Jamila Yusufali

  IRN JXY00002

  • [FCA CF] Significant management (since 8 Jan 2025)
  • [FCA CF] Significant management (25 May 2021 to 29 Apr 2022)
• John Ronald Davie

  IRN JRD01146

  • SMF2 Chief Finance (since 19 May 2021)
  • SMF3 Executive Director (since 19 May 2021)
• John Rowland

  IRN JXR01505

  • SMF13 Chair of the Nominations Committee (since 19 May 2021)
  • SMF9 Chair of the Governing Body (since 19 May 2021)
• June Emelda Abrams

  IRN JXA00563

  • [FCA CF] Significant management (12 Sep 2023 to 2 Apr 2024)
• Keith Andrew Ainsley

  IRN KXA00405

  • [FCA CF] Significant management (since 4 Mar 2025)
• Krishan Tank

  IRN KXT00153

  • [FCA CF] Significant management (since 29 Nov 2021)
• Laura Tumbridge

  IRN LXT74518

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

  IRN LXY73858

  • SMF18 Other Overall Responsibility (since 4 Oct 2024)
  • [FCA CF] CASS oversight function (25 May 2021 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)

No changes recorded yet.