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.

• John Antony Grundy

  IRN JAG01242

  • [PRA CF] Significant risk taker or Material risk taker (16 Oct 2020 to 1 Feb 2022)
  • CF30 Customer (1 Nov 2007 to 21 Dec 2009)
  • CF22 Investment Adviser (Trainee) (26 Oct 2007 to 31 Oct 2007)
• John Gordon Buckingham Craig

  IRN JGC01039

  • CF30 Customer (7 Jul 2009 to 1 Oct 2010)
• John Gout

  IRN JXG01546

  • CF22 Investment Adviser (Trainee) (13 Feb 2004 to 2 Mar 2005)
• John Laurence Irwin

  IRN JLI01002

  • [PRA CF] Significant risk taker or Material risk taker (28 Mar 2018 to 8 Aug 2022)
  • [FCA CF] Manager of certification employee (28 Mar 2018 to 8 Aug 2022)
  • [FCA CF] Significant management (7 Mar 2017 to 8 Aug 2022)
  • [FCA CF] Client dealing (7 Mar 2017 to 8 Aug 2022)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF26 Customer Trading (1 Dec 2005 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 1 Dec 2005)
• John Raynor Barlow

  IRN JRB01246

  • CF22 Investment Adviser (Trainee) (3 Feb 2005 to 28 Jul 2006)
• John Ronald Davie

  IRN JRD01146

  • SMF2 Chief Finance (since 7 Mar 2016)
  • CF28 Systems and controls (1 Apr 2014 to 6 Mar 2016)
• John Sandilands Elder

  IRN JSE01025

  • CF30 Customer (4 Apr 2014 to 1 Jul 2015)
• Jonathan Eveson

  IRN JXE01127

  • CF30 Customer (1 Nov 2007 to 21 Dec 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Jonathan Lacey

  IRN JML01162

  • [FCA CF] Material risk taker (since 3 Oct 2022)
  • [FCA CF] Significant management (since 9 Aug 2022)
  • [FCA CF] Client dealing (since 28 Mar 2018)
  • [FCA CF] Manager of certification employee (since 28 Mar 2018)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF26 Customer Trading (5 Dec 2005 to 31 Oct 2007)
• Jonathan Robert Blythe

  IRN JXB00880

  • [FCA CF] Manager of certification employee (30 Sep 2021 to 1 Mar 2024)
  • [FCA CF] Client dealing (30 Sep 2021 to 1 Mar 2024)

No changes recorded yet.