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.

• Stephan Dietrich

  IRN SXD91932

  • [FCA CF] Material risk taker (16 Mar 2021 to 16 Aug 2021)
  • [FCA CF] Client dealing (18 Aug 2020 to 23 Jul 2021)
• Stephen Anthony Earl

  IRN SAE01026

  • [FCA CF] Client dealing (7 Mar 2017 to 15 Aug 2025)
  • CF30 Customer (18 Dec 2014 to 6 Mar 2016)
• Stephen Charles Smit

  IRN SCS01038

  • CF30 Customer (3 Feb 2011 to 14 Dec 2012)
  • CF29 Significant management (13 May 2009 to 14 Dec 2012)
  • CF21 Investment Adviser (4 Nov 2002 to 1 Mar 2004)
  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 1 Mar 2004)
• Stephen Harris

  IRN SXH01799

  • CF30 Customer (1 Nov 2007 to 7 Oct 2011)
  • CF26 Customer Trading (25 Oct 2006 to 31 Oct 2007)
• Stephen James Casey

  IRN SJC01399

  • CF30 Customer (24 Apr 2008 to 9 Dec 2010)
• Stephen John Craig

  IRN SJC01440

  • SMF2 Chief Finance (6 Apr 2023 to 31 May 2024)
  • [FCA CF] Significant management (7 May 2020 to 6 Apr 2023)
  • [FCA CF] Material risk taker (7 Mar 2017 to 6 Apr 2023)
  • CF28 Systems and controls (27 Nov 2013 to 6 Mar 2016)
• Stephen John Foster Dittrich

  IRN SJD01139

  • CF30 Customer (23 Nov 2009 to 6 Mar 2016)
• Stephen John Samuel Olford

  IRN SJO01085

  • SMF3 Executive Director (since 1 Dec 2020)
  • SMF22 Other Local Responsibility (13 Jul 2018 to 1 Dec 2020)
  • CF10a CASS Oversight function (9 Oct 2013 to 6 Mar 2016)
  • CF29 Significant management (13 Jun 2008 to 6 Mar 2016)
• Stephen Kenneth Wisson

  IRN SKW01013

  • CF16 Significant Mgt (Desgntd Investment Business) (26 Jan 2007 to 8 Jun 2007)
• Stephen Thomas Simmons

  IRN STS01046

  • [FCA CF] Client dealing (since 20 Mar 2025)

No changes recorded yet.