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.

• Melinda Ann Paris

  IRN MAB01345

  • CF26 Customer Trading (25 Nov 2005 to 16 May 2006)
• Michael Amorgianos

  IRN MXA01236

  • CF30 Customer (1 Nov 2007 to 2 Nov 2007)
  • CF21 Investment Adviser (26 Apr 2005 to 31 Oct 2007)
• Michael Bellacosa

  IRN MXB76471

  • [FCA CF] Significant management (7 Mar 2017 to 12 Mar 2021)
• Michael Beraha

  IRN MXB00825

  • [FCA CF] Significant management (4 Aug 2025 to 14 Nov 2025)
  • [PRA CF] Significant risk taker or Material risk taker (21 Feb 2022 to 4 Aug 2025)
• Michael Cole-Fontayn

  IRN MXC01334

  • SMF19 Head of Overseas Branch/Head of Overseas (7 Mar 2016 to 15 Dec 2017)
  • CF3 Chief Executive (26 Sep 2011 to 6 Mar 2016)
  • CF1 Director (12 Mar 2010 to 6 Mar 2016)
  • CF29 Significant management (1 Nov 2007 to 12 Mar 2010)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 31 Oct 2007)
• Michael David Andrew Johnson

  IRN MDJ01061

  • [FCA CF] CASS oversight function (24 Jul 2025 to 7 Nov 2025)
  • [FCA CF] Manager of certification employee (14 Nov 2024 to 24 Jul 2025)
  • [PRA CF] Significant risk taker or Material risk taker (16 Jul 2024 to 24 Jul 2025)
  • [FCA CF] Significant management (1 Dec 2017 to 18 Jun 2019)
  • [FCA CF] Client dealing (1 Dec 2017 to 18 Jun 2019)
  • CF30 Customer (16 Jul 2008 to 1 Nov 2013)
• Michael Foster

  IRN MXF00516

  • [FCA CF] Significant management (since 7 Mar 2024)
• Michael James Cooper

  IRN MJC01620

  • [FCA CF] Manager of certification employee (since 30 Nov 2023)
  • [FCA CF] Algorithmic trading (since 30 Nov 2023)
  • [PRA CF] Significant risk taker or Material risk taker (since 1 Aug 2022)
  • [FCA CF] Client dealing (since 18 Jul 2018)
• Michael Jenkins

  IRN MXJ00111

  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2017 to 14 Jun 2019)
• Michael Joseph McMorrow

  IRN MJM01317

  • [FCA CF] Manager of certification employee (7 Mar 2017 to 31 Mar 2021)
  • [PRA CF] Managing a material risk taker (7 Mar 2017 to 31 Mar 2021)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2017 to 26 Jul 2022)
  • CF30 Customer (1 Nov 2007 to 5 May 2009)
  • CF23 Corporate Finance Adviser (30 Jan 2004 to 31 Oct 2007)
  • CF26 Customer Trading (8 Dec 2003 to 31 Oct 2007)

No changes recorded yet.