PERSHING SECURITIES LIMITED

• Principal Place of Business

  160 Queen Victoria Street

  London

  EC4V 4LA

  UNITED KINGDOM

  Phone

  +442071638000

  Web

  https://www.bny.com/pershing/emea/en.html

• Complaints Contact

  Royal Liver Building

  Pier Head

  Liverpool

  Merseyside

  L3 1LL

  UNITED KINGDOM

  Phone

  +442071638000

• 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, Retail (Investment), 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

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

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

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

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, 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, Retail (Investment), 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), 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)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), 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 (Contractually Based Investments), 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)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Consumer Loans

• Runs Personal Pensions

  For Professional, Retail (Investment), Personal pension scheme

• Loan Servicing

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

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

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

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

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, 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.

• Brendan Kenny

  IRN BXK00031

  • [FCA CF] Significant management (16 Feb 2023 to 19 Mar 2024)
  • [FCA CF] Functions requiring qualifications (3 Sep 2020 to 19 Mar 2024)
• Brian Thomas Shea

  IRN BTS01010

  • CF1 Director (11 Jan 2010 to 28 May 2013)
  • CF2 Non Executive Director (3 Sep 2003 to 11 Jan 2010)
• Catherine Elizabeth Neate

  IRN CEN01028

  • Director of firm who is not a certification employee or a SMF manager (since 26 Jul 2024)
• Cecile Nagel

  IRN CXN01066

  • SMF3 Executive Director (6 Jan 2023 to 2 Oct 2023)
  • SMF1 Chief Executive (6 Jan 2023 to 2 Oct 2023)
• Charl Hatley van der Merwe

  IRN CHV01003

  • CF10 Compliance Oversight (2 Jun 2005 to 10 Oct 2005)
  • CF8 Apportionment and Oversight (27 Oct 2003 to 31 Oct 2007)
  • CF3 Chief Executive (13 Oct 2003 to 4 Nov 2011)
  • CF16 Significant Mgt (Desgntd Investment Business) (13 Oct 2003 to 10 Oct 2005)
  • CF1 Director (22 Jul 2003 to 30 Jan 2012)
• Christopher Gorst-Smith

  IRN CXG06103

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Apr 2020)
  • CF11 Money Laundering Reporting (5 Oct 2018 to 8 Dec 2019)
• Christopher Ian Hornsby

  IRN CIH01009

  • CF29 Significant management (1 Nov 2007 to 19 Feb 2014)
  • CF20 Significant Mgt (Settlements) (2 Jun 2005 to 31 Oct 2007)
  • CF16 Significant Mgt (Desgntd Investment Business) (2 Jun 2005 to 31 Oct 2007)
• Claire Reilly

  IRN CXR00105

  • [FCA CF] Functions requiring qualifications (3 Sep 2020 to 21 Oct 2022)
• Claire Santaniello

  IRN CXS02015

  • CF1 Director (24 May 2013 to 9 May 2014)
• Colin David Murphy

  IRN CDM01050

  • SMF18 Other Overall Responsibility (since 2 Aug 2023)

• Share Dealing Services Limited (no longer appointed)

  FRN 205915 · Appointed 29 Dec 1998 · Until 18 Jul 2005

No changes recorded yet.