State Street Trustees Limited

• Principal Place of Business

  20 Churchill Place

  London

  E14 5HJ

  UNITED KINGDOM

  Phone

  +442033956000

• Complaints Contact

  20 Churchill Place

  London

  E14 5HJ

  UNITED KINGDOM

  Phone

  +442033956000

• Retail Fund Guardian

• Specialist Fund Guardian

• Private Fund Guardian

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Alternative Debenture, 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, Stakeholder pension scheme, Unit, Warrant

  Show 3 limitations Hide limitations

  • · Limited to acting as depositary of an Investment Company with Variable Capital.
  • · Limited to trustee activities.
  • · Limited to acting as trustee or depositary of an authorised alternative investment fund and of an unauthorised alternative investment fund.

• Stockbroking

  For Eligible Counterparty, Professional, Alternative Debenture, 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, Stakeholder pension scheme, Unit, Warrant

  Show 4 limitations Hide limitations

  • · Unable to carry on any investment services and activities ( to which MiFID applies) on a regular basis.
  • · Limited to trustee activities and in doing so limited to authorised unit trust scheme activities.
  • · Limited to acting as trustee or depositary of an authorised alternative investment fund and of an unauthorised alternative investment fund.
  • · Limited to acting as depositary of an Investment Company with Variable Capital.

• Runs Investment Funds

  Show 3 limitations Hide limitations

  • · Limited to acting as trustee or depositary of an authorised alternative investment fund and of an unauthorised alternative investment fund.
  • · Limited to acting as depositary of an Investment Company with Variable Capital.
  • · Limited to trustee activities and in doing so limited to authorised unit trust scheme activities.

• Investment Setup

  For Eligible Counterparty, Professional, Alternative Debenture, 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, Stakeholder pension scheme, Unit, Warrant

  Show 3 limitations Hide limitations

  • · Limited to depositary activities and in doing so limited to ICVC activities.
  • · Limited to trustee activities and in doing so limited to authorised unit trust scheme activities
  • · Limited to acting as trustee or depositary of an authorised alternative investment fund and of an unauthorised alternative investment fund.

• Holds Your Assets

  For Eligible Counterparty, Professional, Alternative Debenture, 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, Stakeholder pension scheme, Unit, Warrant

  Show 3 limitations Hide limitations

  • · Limited to trustee activities.
  • · Limited to acting as depositary of an Investment Company with Variable Capital.
  • · Limited to acting as trustee or depositary of an authorised alternative investment fund and of an unauthorised alternative investment fund.

• Paul Harvey

  IRN PLH01046

  • [FCA CF] Material risk taker (9 Dec 2019 to 19 Nov 2020)
• Paul Redmond Laffan

  IRN PRL01079

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 8 Oct 2025)
  • CF11 Money Laundering Reporting (23 Dec 2016 to 8 Dec 2019)
• Peter Charles Dougherty

  IRN PCD01053

  • CF11 Money Laundering Reporting (2 Jun 2014 to 22 Mar 2016)
• Peter Denys

  IRN PXD91301

  • [FCA CF] Significant management (1 Feb 2022 to 30 Sep 2024)
• Peter O'Neill

  IRN PXO01036

  • CF29 Significant management (5 Dec 2012 to 1 Jul 2015)
• Peter Tero Robinson

  IRN PTR01020

  • CF28 Systems and controls (30 Mar 2011 to 24 May 2013)
• Rajen Manilal Shah

  IRN RMS01178

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 19 Nov 2020)
• Raymond Cockrem

  IRN RXC01712

  • SMF5 Head of Internal Audit (since 31 Jan 2025)
  • [FCA CF] Manager of certification employee (13 Nov 2024 to 31 Jan 2025)
  • [FCA CF] Material risk taker (13 Nov 2024 to 31 Jan 2025)
  • [FCA CF] Significant management (1 Feb 2022 to 22 Dec 2022)
• Richard Paul Crannis

  IRN RPC01097

  • CF10 Compliance Oversight (15 Jan 2018 to 1 Jun 2018)
• Richard Thomas Flood

  IRN RXF00017

  • [FCA CF] Material risk taker (9 Dec 2019 to 19 Nov 2020)

No changes recorded yet.