The Northern Trust Company

• Principal Place of Business

  50 Bank Street

  London

  E14 5NT

  UNITED KINGDOM

  Phone

  +442079822000

  Web

  https://www.northerntrust.com

• Complaints Contact

  50 Bank Street

  London

  E14 5NT

  UNITED KINGDOM

  Phone

  +442079822000

• Bank Deposits

  For Eligible Counterparty, Professional, Deposit

• 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, 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, Funeral plan contract, 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.

• 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, Funeral plan contract, 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.

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, 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, 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, Funeral plan contract, 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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  • · Limited to stocklending activities and in carrying on such activities to the securities listed other than "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with these specified investments).
  • · 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, 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

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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, Funeral plan contract, 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.

• 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, Funeral plan contract, 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.

• 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, Funeral plan contract, 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.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• David Charles Wicks

  IRN DCW01050

  • [FCA CF] Significant management (2 Dec 2020 to 31 Mar 2021)
  • [PRA CF] Significant risk taker or Material risk taker (2 Dec 2020 to 31 Mar 2021)
  • SMF22 Other Local Responsibility (7 Mar 2016 to 25 Nov 2020)
  • CF10a CASS Oversight function (21 Oct 2011 to 6 Mar 2016)
  • CF29 Significant management (1 Oct 2010 to 6 Mar 2016)
  • CF8 Apportionment and Oversight (17 Aug 2004 to 8 Nov 2005)
  • CF14 Risk Assessment (1 Dec 2001 to 8 Nov 2005)
• David James Rothon

  IRN DJR01195

  • CF26 Customer Trading (2 Feb 2006 to 14 Jul 2006)
  • CF21 Investment Adviser (4 Aug 2005 to 14 Jul 2006)
  • CF22 Investment Adviser (Trainee) (12 May 2004 to 4 Aug 2005)
• David Mapplebeck

  IRN DXM73853

  • [FCA CF] Material risk taker (since 26 Jan 2023)
  • [FCA CF] Significant management (since 5 Jul 2017)
  • [FCA CF] Manager of certification employee (8 Jan 2025 to 1 Sep 2025)
• David Marc Russell-Jones

  IRN DMR01107

  • CF22 Investment Adviser (Trainee) (2 Sep 2005 to 15 Jun 2007)
• David Marlborough

  IRN DXM02436

  • SMF4 Chief Risk (since 14 Jun 2023)
  • [FCA CF] Material risk taker (10 May 2023 to 14 Jun 2023)
  • SMF4 Chief Risk (7 Mar 2016 to 1 Dec 2020)
  • CF28 Systems and controls (9 Oct 2012 to 6 Mar 2016)
• David Payne Robinson

  IRN DPR01048

  • CF14 Risk Assessment (1 Dec 2001 to 3 Jan 2007)
  • CF15 Internal Audit (1 Dec 2001 to 3 Jan 2007)
• David Robert Gordon

  IRN DXG00260

  • [FCA CF] Significant management (12 Apr 2021 to 17 Jun 2022)
• David Wilkinson

  IRN DXW01334

  • CF21 Investment Adviser (1 Dec 2001 to 27 Jun 2003)
  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 27 Jun 2003)
• Dean Andrew Hill

  IRN DAH01191

  • CF30 Customer (1 Nov 2007 to 2 Aug 2010)
  • CF26 Customer Trading (6 Apr 2006 to 31 Oct 2007)
• Devon Brooks

  IRN DXB02219

  • SMF5 Head of Internal Audit (7 Mar 2016 to 8 Dec 2016)
  • CF28 Systems and controls (14 Feb 2013 to 6 Mar 2016)

No changes recorded yet.