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

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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.

• 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.

• Damian Powell

  IRN DXP01564

  • CF30 Customer (1 Nov 2007 to 13 Feb 2009)
  • CF22 Investment Adviser (Trainee) (26 Oct 2007 to 31 Oct 2007)
• Daniel Field Lindley

  IRN DFL01020

  • CF29 Significant management (2 Jul 2012 to 31 Mar 2015)
• Daniel Smith

  IRN DJS01364

  • [FCA CF] Material risk taker (since 10 May 2022)
  • [FCA CF] Manager of certification employee (since 1 May 2020)
  • [FCA CF] Client dealing (since 7 Apr 2020)
  • [FCA CF] Proprietary trader (since 1 Mar 2020)
  • [FCA CF] Significant management (since 7 Mar 2017)
  • [FCA CF] Client dealing (7 Mar 2017 to 29 Feb 2020)
  • CF29 Significant management (11 Feb 2013 to 6 Mar 2016)
  • CF30 Customer (11 Feb 2013 to 13 Aug 2013)
  • CF27 Investment Management (12 Apr 2005 to 14 Jul 2006)
• Danielle Ford

  IRN DXF01506

  • [FCA CF] Client dealing (16 Aug 2018 to 20 Apr 2021)
  • CF30 Customer (25 Jun 2014 to 6 Mar 2016)
• Darren Seary

  IRN DXS87735

  • [FCA CF] Material risk taker (since 21 Aug 2021)
  • [FCA CF] Significant management (since 1 Mar 2021)
• David Alan Copley

  IRN DAC01170

  • CF29 Significant management (1 Nov 2007 to 2 Aug 2010)
  • CF20 Significant Mgt (Settlements) (16 Aug 2006 to 31 Oct 2007)
• David Alasdair Clerey

  IRN DXC00907

  • [FCA CF] Significant management (since 18 Jul 2025)
• David Andrew Toye

  IRN DAT01116

  • CF30 Customer (22 Apr 2008 to 21 Dec 2009)
• David Anthony Cooper

  IRN DAC01185

  • CF30 Customer (1 Nov 2007 to 25 Apr 2008)
  • CF21 Investment Adviser (17 Mar 2004 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 17 Mar 2004)
• David Blake

  IRN DMB01143

  • CF27 Investment Management (13 Jan 2003 to 14 Jul 2006)

No changes recorded yet.