Andrew Robert Clayton

Last updated
2 weeks ago
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Where they hold approval

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

  • Northern Trust Global Investments Limited (no longer approved here)

    FRN 191916

    • SMF3 Executive Director (9 Dec 2019 to 8 Oct 2020)
    • CF1 Director (18 Jul 2014 to 8 Dec 2019)
    • CF29 Significant management (1 Nov 2007 to 4 Apr 2016)
    • CF30 Customer (1 Nov 2007 to 16 Nov 2009)
    • CF26 Customer Trading (1 Dec 2005 to 31 Oct 2007)
    • CF16 Significant Mgt (Desgntd Investment Business) (17 Dec 2004 to 31 Oct 2007)
    • CF27 Investment Management (6 Feb 2002 to 1 Dec 2005)
  • Northern Trust Securities LLP (no longer approved here)

    FRN 465131

    • SMF27 Partner (9 Dec 2019 to 30 Jun 2021)
    • CF4 Partner (1 May 2016 to 8 Dec 2019)
    • CF4 Partner (AR) (29 Jan 2016 to 15 Jul 2016)
  • The Northern Trust Company (no longer approved here)

    FRN 122020

    • 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)

Recent activity

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

No changes recorded yet.