Adam Hallsworth

Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

Northern Trust Securities LLP
FRN 465131
- SMF27 Partner (since 13 Aug 2024)
- [FCA CF] Material risk taker (since 1 Mar 2020)
- [FCA CF] Significant management (since 1 Mar 2020)
Northern Trust Global Services SE
FRN 829966
- SMF2 Chief Finance (since 17 Jul 2024)
- [FCA CF] Significant management (1 Mar 2019 to 17 Jul 2024)
The Northern Trust Company
FRN 122020
- [FCA CF] Significant management (since 12 Dec 2019)
- [FCA CF] Material risk taker (31 Oct 2023 to 24 Oct 2024)
Northern Trust Global Investments Limited
FRN 191916
- SMF2 Chief Finance (since 12 Oct 2022)
- SMF3 Executive Director (since 12 Oct 2022)
- [FCA CF] Significant management (1 Mar 2020 to 12 Oct 2022)
Northern Trust Investor Services Limited
FRN 927658
- [FCA CF] Significant management (since 25 May 2021)

Updates to this individual's record on the FCA register.

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.