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

  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.

• 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.

• Andrew Clayden

  IRN AXC00590

  • [FCA CF] Significant management (since 1 Mar 2021)
  • [FCA CF] Material risk taker (since 1 Mar 2021)
• Andrew Geggus

  IRN ACG01122

  • CF30 Customer (22 Dec 2015 to 6 Mar 2016)
• Andrew James Beashel

  IRN AJB01576

  • CF22 Investment Adviser (Trainee) (8 Nov 2005 to 14 Jul 2006)
• Andrew Johnathon Priest

  IRN AJP01300

  • CF29 Significant management (30 Oct 2009 to 2 Jan 2015)
  • CF30 Customer (1 Nov 2007 to 2 Jan 2015)
  • CF26 Customer Trading (26 Sep 2005 to 31 Oct 2007)
• Andrew Lemon

  IRN AXL73850

  • [FCA CF] Significant management (10 Jun 2021 to 22 Feb 2023)
  • [FCA CF] Client dealing (1 Mar 2020 to 16 Oct 2020)
  • [FCA CF] Material risk taker (8 Jul 2019 to 16 Oct 2020)
  • [FCA CF] Manager of certification employee (1 Mar 2019 to 16 Oct 2020)
• Andrew Mark Snowdon

  IRN AMS01339

  • CF30 Customer (13 Sep 2011 to 6 Mar 2016)
• Andrew Michael Franks

  IRN AMF01083

  • [FCA CF] Client dealing (1 Mar 2021 to 25 Feb 2025)
  • [FCA CF] Manager of certification employee (7 Mar 2017 to 25 Feb 2025)
  • [FCA CF] Proprietary trader (7 Mar 2017 to 25 Feb 2025)
  • [FCA CF] Significant management (7 Mar 2017 to 25 Feb 2025)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2017 to 25 Feb 2025)
  • CF29 Significant management (9 Nov 2009 to 6 Mar 2016)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF26 Customer Trading (26 Sep 2005 to 31 Oct 2007)
• Andrew Osborne

  IRN ATO01006

  • [PRA CF] Significant risk taker or Material risk taker (17 Dec 2020 to 7 Apr 2022)
  • [FCA CF] Significant management (7 Mar 2017 to 7 Apr 2022)
  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 20 Oct 2004)
• Andrew Robert Clayton

  IRN ARC01072

  • SMF22 Other Local Responsibility (7 Mar 2016 to 1 Jun 2021)
  • CF30 Customer (27 Aug 2010 to 6 Mar 2016)
  • CF29 Significant management (1 Nov 2007 to 6 Mar 2016)
  • CF26 Customer Trading (1 Dec 2005 to 31 Oct 2007)
  • CF16 Significant Mgt (Desgntd Investment Business) (17 Dec 2004 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (28 May 2002 to 12 Aug 2004)
  • CF27 Investment Management (1 Dec 2001 to 1 Dec 2005)
  • CF17 Significant Mgt (Other Business Operations) (1 Dec 2001 to 17 Dec 2004)
• Andrew Simon Clack

  IRN ASC01053

  • CF21 Investment Adviser (26 Oct 2005 to 14 Jul 2006)

No changes recorded yet.