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

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• PETER STEPHEN NICHOLAS Uttley

  IRN PXU00018

  • [FCA CF] Client dealing (23 Feb 2023 to 24 Apr 2026)
  • [FCA CF] Proprietary trader (23 Feb 2023 to 24 Apr 2026)
• Paul Matthew Denton

  IRN PMD01066

  • [FCA CF] Significant management (since 5 Nov 2024)
• Paula Mary Brierley

  IRN PXB00466

  • [FCA CF] Significant management (8 Apr 2022 to 22 May 2025)
• Peter Richard Hawkins

  IRN PRH01172

  • SMF17 Money Laundering Reporting Officer (MLRO) (19 May 2021 to 13 Feb 2026)
• Richard John Wilson

  IRN RXW87977

  • SMF3 Executive Director (19 May 2021 to 22 Sep 2022)
  • SMF4 Chief Risk (19 May 2021 to 22 Sep 2022)
• Richard Peter Thompson

  IRN RXT01192

  • [FCA CF] Significant management (1 Apr 2022 to 24 Oct 2023)
• Robert Berendt

  IRN RXB88066

  • [FCA CF] Significant management (since 25 May 2021)
• Robert Daniel Angel

  IRN RXA00215

  • SMF16 Compliance Oversight (since 14 Mar 2026)
  • SMF16 Compliance Oversight (27 Aug 2021 to 1 Mar 2024)
  • [FCA CF] Material risk taker (2 Aug 2021 to 27 Aug 2021)
  • [FCA CF] Significant management (2 Aug 2021 to 27 Aug 2021)
• Robert Davis

  IRN RXD00224

  • [FCA CF] Significant management (since 25 May 2021)
• Robert Dixon

  IRN RWD01072

  • [FCA CF] Client dealing (since 25 May 2021)

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