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

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  • · 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.

• Robin Baker

  IRN RXB00277

  • [FCA CF] Significant management (25 May 2021 to 8 Jul 2022)
• Roger Aburrow

  IRN RXA00065

  • [FCA CF] Significant management (25 May 2021 to 16 Aug 2022)
• Rory Gerald Kemper

  IRN RXK00441

  • [FCA CF] Significant management (since 1 Mar 2024)
• Sam Johan Lundqvist

  IRN SJL01231

  • [FCA CF] Client dealing (2 May 2023 to 18 Aug 2023)
• Samuel Girardot

  IRN SXG02243

  • [FCA CF] Client dealing (since 25 May 2021)
  • [FCA CF] Significant management (since 25 May 2021)
  • [FCA CF] Proprietary trader (since 25 May 2021)
  • [FCA CF] Material risk taker (25 May 2021 to 31 Jan 2025)
• Simon Abbott

  IRN SXA00542

  • [FCA CF] Manager of certification employee (since 5 Nov 2024)
  • [FCA CF] Significant management (since 19 Aug 2024)
  • [FCA CF] Significant management (14 Feb 2022 to 3 Jun 2024)
• Steven John Groves

  IRN SXG00183

  • [FCA CF] Significant management (27 Mar 2023 to 6 Dec 2024)
• Steven Short

  IRN SXS00630

  • [FCA CF] Significant management (2 Jun 2021 to 25 May 2022)
• Suthagar Ponniah

  IRN SXP01912

  • SMF5 Head of Internal Audit (since 19 May 2021)
• Tara Michelle Dziengel

  IRN TXD00372

  • [FCA CF] Material risk taker (since 24 Mar 2026)

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