Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Northern Trust Global Services SE
FRN 829966
- SMF22 Other Local Responsibility (since 10 Nov 2022)
- [FCA CF] Significant management (9 Jul 2021 to 10 Jan 2023)
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The Northern Trust Company
FRN 122020
- SMF22 Other Local Responsibility (since 14 Jun 2017)
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- CF30 Customer (17 Aug 2015 to 6 Mar 2016)
- CF29 Significant management (17 Apr 2009 to 27 Mar 2013)
- CF21 Investment Adviser (1 Dec 2001 to 30 Dec 2002)
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- CF29 Significant management (17 Apr 2009 to 27 Mar 2013)
- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF21 Investment Adviser (5 May 2005 to 31 Oct 2007)
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- CF21 Investment Adviser (1 Dec 2001 to 30 Dec 2002)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.