State Street Bank and Trust Company

• Principal Place of Business

  20 Churchill Place

  Canary Wharf

  London

  E14 5HJ

  UNITED KINGDOM

  Phone

  +442033956000

• Complaints Contact

  20 Churchill Place

  Canary Wharf

  London

  E14 5HJ

  UNITED KINGDOM

  Phone

  +442033956000

• Bank Deposits

  For Eligible Counterparty, Professional, Deposit

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  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 (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, 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.

• 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, 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.

• 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, 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.

• 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 (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, 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, 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.

• 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 (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.

• Manages Your Portfolio

  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 (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to 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, 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

  Show 1 limitation Hide limitations

  • · 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.

• Martha Ann Whitman

  IRN MAW01333

  • [FCA CF] Manager of certification employee (22 May 2020 to 21 Feb 2025)
  • [FCA CF] Material risk taker (17 Jan 2018 to 1 Jul 2025)
  • [FCA CF] Client dealing (7 Mar 2017 to 1 Jul 2025)
  • CF30 Customer (28 Feb 2014 to 6 Mar 2016)
• Martin Baatz Olsen

  IRN MXB01186

  • [FCA CF] Client dealing (1 Aug 2023 to 26 Mar 2024)
• Martin Richard Bean

  IRN MRB01117

  • [FCA CF] Manager of certification employee (7 Mar 2017 to 27 May 2022)
  • [FCA CF] Client dealing (7 Mar 2017 to 31 May 2024)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (5 Dec 2002 to 31 Oct 2007)
• Mary Leung

  IRN YYL01010

  • [FCA CF] Material risk taker (since 28 Sep 2021)
  • [FCA CF] Manager of certification employee (since 23 Mar 2020)
  • [FCA CF] Algorithmic trading (since 21 Nov 2018)
  • [FCA CF] Client dealing (since 21 Nov 2018)
  • [FCA CF] Material risk taker (6 May 2020 to 18 Mar 2021)
• Matthew James Vallance

  IRN MJV01042

  • [FCA CF] Client dealing (since 7 Mar 2017)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF26 Customer Trading (24 Apr 2007 to 31 Oct 2007)
• Matthew Jonathan Shapcott

  IRN MJS01592

  • [FCA CF] Manager of certification employee (8 Dec 2022 to 17 Feb 2025)
  • [FCA CF] Client dealing (8 Dec 2022 to 17 Feb 2025)
  • [FCA CF] Material risk taker (27 Sep 2021 to 22 Nov 2022)
• Matthew Stephen Neville

  IRN MSN01034

  • [FCA CF] Manager of certification employee (since 7 Mar 2017)
  • [FCA CF] Client dealing (since 7 Mar 2017)
  • CF30 Customer (4 Jun 2009 to 6 Mar 2016)
• Matthew Tunnicliffe

  IRN MXT01957

  • [FCA CF] Client dealing (6 Aug 2020 to 31 Dec 2021)
  • CF30 Customer (24 Jul 2014 to 6 Mar 2016)
• Maurice Leo

  IRN MXL01253

  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (1 Feb 2003 to 31 Oct 2007)
• Megan Davenport

  IRN MXD91300

  • [FCA CF] Material risk taker (since 18 Jul 2018)

No changes recorded yet.