The Bank of New York Mellon

• Principal Place of Business

  160 Queen Victoria Street

  London

  EC4V 4LA

  UNITED KINGDOM

  Phone

  +442075701784

  Web

  https://www.bny.com

• Complaints Contact

  160 Queen Victoria Street

  London

  EC4V 4LA

  UNITED KINGDOM

  Phone

  +442071639039

• Bank Deposits

  For All, Deposit

• Private Fund Guardian

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• Investment Advice (no pensions)

  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, 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.

• 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, 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 (contractually based)" is limited to investment types granted for this activity.

• Trade Settlement Routing

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

• 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, 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.

• Manages Your Portfolio

  For 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, 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 (contractually based)" is limited to investment types granted for this activity.

• Electronic Trade Settlement

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

• Karin Mulvihill

  IRN KXM86382

  • [FCA CF] Significant management (4 Jul 2024 to 6 Jan 2025)
  • [PRA CF] Significant risk taker or Material risk taker (6 May 2020 to 4 Jul 2024)
• Katharina Haidenthaler

  IRN KXH01397

  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (26 Jul 2006 to 31 Oct 2007)
• Katherine Damsell

  IRN KXD01350

  • SMF3 Executive Director (25 Jan 2021 to 5 May 2022)
  • [PRA CF] Significant risk taker or Material risk taker (15 Oct 2018 to 21 Jan 2021)
  • [FCA CF] Significant management (15 Oct 2018 to 21 Jan 2021)
• Katherine Woodrow

  IRN KXW00117

  • [PRA CF] Significant risk taker or Material risk taker (23 Jan 2019 to 3 Mar 2022)
  • [FCA CF] Client dealing (23 Jan 2019 to 24 Jun 2021)
• Keith Whitelock

  IRN KXW00114

  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2017 to 31 Mar 2021)
  • [FCA CF] Significant management (7 Mar 2017 to 22 Jan 2021)
  • [PRA CF] Managing a material risk taker (7 Mar 2017 to 31 Mar 2021)
  • [FCA CF] Manager of certification employee (7 Mar 2017 to 31 Mar 2021)
• Kenny Wen Cheak Lee

  IRN KWL01014

  • [FCA CF] Manager of certification employee (13 Jun 2018 to 16 Dec 2021)
  • [PRA CF] Managing a material risk taker (13 Jun 2018 to 16 Dec 2021)
  • [PRA CF] Significant risk taker or Material risk taker (13 Jun 2018 to 16 Dec 2021)
  • [FCA CF] Proprietary trader (13 Jun 2018 to 16 Dec 2021)
• Kerry Baker

  IRN KXB00279

  • [PRA CF] Significant risk taker or Material risk taker (21 Oct 2021 to 10 Mar 2025)
  • [FCA CF] CASS oversight function (26 May 2021 to 10 Mar 2025)
• Ketan Patel

  IRN KXP01428

  • [FCA CF] Client dealing (7 Mar 2017 to 20 Nov 2024)
  • CF30 Customer (23 May 2012 to 6 Mar 2016)
• Kevin Duddy

  IRN KXD00096

  • [FCA CF] Significant management (12 Aug 2020 to 1 Mar 2021)
  • [FCA CF] Manager of certification employee (12 Aug 2020 to 1 Mar 2021)
• Kevin Ian Martyn

  IRN KIM01009

  • CF21 Investment Adviser (1 Dec 2001 to 23 Feb 2005)

No changes recorded yet.