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

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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

  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.

• 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

  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.

• 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

  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.

• 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

  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.

• 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

  Show 1 limitation Hide limitations

  • · 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.

• Arron Francksen

  IRN AXF00040

  • [FCA CF] Manager of certification employee (24 Jan 2018 to 2 Feb 2021)
  • [FCA CF] Client dealing (21 Dec 2017 to 2 Feb 2021)
• Ashley Warren

  IRN AXW00064

  • [FCA CF] Client dealing (since 5 Apr 2017)
  • [FCA CF] Material risk taker (since 5 Apr 2017)
  • [FCA CF] Manager of certification employee (since 5 Apr 2017)
• Austin Armstrong

  IRN AJA01164

  • [FCA CF] Client dealing (7 Mar 2017 to 18 Jun 2021)
  • [FCA CF] Manager of certification employee (7 Mar 2017 to 18 Jun 2021)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (5 Jan 2007 to 31 Oct 2007)
• Avinash Divakar Persaud

  IRN ADP01054

  • CF21 Investment Adviser (1 Dec 2001 to 15 Oct 2003)
• Barbara Diette

  IRN BXD01549

  • SMF24 Chief Operations (1 Sep 2022 to 31 Mar 2025)
  • SMF4 Chief Risk (4 Apr 2017 to 1 Sep 2022)
• Barbara Foy Wentzel

  IRN BFW01015

  • CF30 Customer (30 Mar 2011 to 8 Mar 2013)
• Barrie Dennis

  IRN BXD01392

  • CF30 Customer (29 Nov 2013 to 31 Oct 2014)
• Barry David Muir

  IRN BDM01034

  • SMF3 Executive Director (since 8 Jun 2020)
  • SMF22 Other Local Responsibility (17 Jul 2018 to 8 Jun 2020)
  • CF10a CASS Oversight function (1 Oct 2011 to 10 Oct 2013)
  • CF29 Significant management (1 Nov 2007 to 6 Mar 2016)
  • CF16 Significant Mgt (Desgntd Investment Business) (30 Jul 2007 to 31 Oct 2007)
• Barry Smeaton

  IRN BJS01110

  • [FCA CF] Client dealing (17 Oct 2017 to 27 Nov 2019)
• Ben Anthony Johnson

  IRN BXJ00021

  • [FCA CF] CASS oversight function (24 Jun 2021 to 1 Oct 2021)
  • [FCA CF] Material risk taker (10 Jan 2019 to 18 Mar 2021)
  • [FCA CF] Manager of certification employee (23 Mar 2018 to 1 Oct 2021)
  • [FCA CF] Client dealing (23 Mar 2018 to 1 Oct 2021)

No changes recorded yet.