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London
From the firm’s Form ADV Item 5G.
No locations on record.
No advisors on record.
This firm answered Yes to 2 Form ADV Item 11 disclosure questions. Each line is from the firm’s SEC filing on this profile.
Full Item 11 checklist is in the ADV form below. How to read Item 11
| Name | Title | Ownership | Schedule |
|---|---|---|---|
| LLOYDS BANKING GROUP PLC | PARENT COMPANY | E | A |
| SHELLEY, STEPHEN, ROBERT | GROUP EXECUTIVE COMMITTEE MEMBER | NA | A |
| WALTON, ANDREW, CHARLES | GROUP EXECUTIVE COMMITTEE MEMBER | NA | A |
| CHALMERS, WILLIAM, LEON DAVID | CHIEF FINANCIAL OFFICER AND EXECUTIVE DIRECTOR | NA | A |
| LEGG, SARAH, CATHERINE | NON EXECUTIVE DIRECTOR | NA | A |
| MACKENZIE, AMANDA, FELICITY | NON EXECUTIVE DIRECTOR | NA | A |
| WOODS, CATHERINE, MARIE | NON EXECUTIVE DIRECTOR | NA | A |
| HINSHELWOOD, NIGEL, GRANT | NON EXECUTIVE DIRECTOR | NA | A |
| Bentley, Sarah | NON EXECUTIVE DIRECTOR | NA | A |
| GILLIGAN, BRENDAN, EDWARD | NON EXECUTIVE DIRECTOR | NA | A |
| BUDENBERG, ROBIN, FRANCIS | NON EXECUTIVE DIRECTOR | NA | A |
| Cheetham, Kate | CHIEF LEGAL OFFICER AND COMPANY SECRETARY | NA | A |
| Nunn, Charles, Alan | EXECUTIVE DIRECTOR AND GROUP CHIEF EXECUTIVE | NA | A |
| Mehta, Harmeen | NON EXECUTIVE DIRECTOR | NA | A |
| Winter, John | GROUP EXECUTIVE COMMITTEE MEMEBER | NA | A |
| Opperman, Jayne | GROUP EXECUTIVE COMMITTEE MEMBER | NA | A |
| Doherty, Sharon | GROUP EXECUTIVE COMMITTEE MEMBER | NA | A |
| Singh, Jasjyot | GROUP EXECUTIVE COMMITTEE MEMBER | NA | A |
| Turner, Cathy | NON EXECUTIVE DIRECTOR | NA | A |
| Van Kemenade, Ron | GROUP EXECUTIVE COMMITTEE MEMBER | NA | A |
| Barua, Chirantan | GROUP EXECUTIVE COMMITTEE MEMBER | NA | A |
| Bostock, Nathan, Mark | NON-EXECUTIVE DIRECTOR | NA | A |
| Vogelzang, Chris | NON EXECUTIVE DIRECTOR | NA | A |
| Murphy, Amanda | GROUP EXECUTIVE COMMITTEE MEMBER | NA | A |
| Fund | Type | Gross assets |
|---|---|---|
| CANCARA ASSET SECURITISATION LIMITED - ABCP PROGRAMME | — | 1130874559 |
| 1F(5) | Total number of offices, other than your Principal Office and place of business | 0 |
| 1I | Do you have one or more websites | Yes |
| 1M | Are you registered with a foreign financial regulatory authority | Yes |
| 1N | Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934 | Yes |
| 1O | Did you have $1 billion or more in assets on the last day of your most recent fiscal year | Yes |
| 1O | If yes, approx. amount of assets | More than $50 billion |
| 1P | Legal Entity Identifier | H7FNTJ4851HG0EXQ1Z70 |
Exempt Reporting Adviser (Item 2B)
| 2B(1) | Qualify for the exemption from registration as an adviser solely to one or more venture capital funds | No |
| 2B(2) | Qualify for the exemption from registration because you act solely as an adviser to private funds and have assets under management in the United States of less than $150 million | Yes |
| 2B(3) | Act solely as an adviser to private funds but you are no longer eligible to check box 2.B.(2) because you have assets under management in the United States of $150 million or more | No |
Organization Type
Corporation
Fiscal Year End
DECEMBER
Organized Under Laws Of
, United Kingdom
You or any related person are registered as or qualified as any of the following (Item 6A)
| 6A(1) | Broker-dealer (registered or unregistered) | No |
| 6A(2) | Registered representative of a broker-dealer | No |
| 6A(3) | Commodity pool operator or commodity trading advisor (whether registered or exempt from registration) | No |
| 6A(4) | Futures commission merchant | No |
| 6A(5) | Real estate broker, dealer, or agent | No |
| 6A(6) | Insurance broker or agent | No |
| 6A(7) | Bank (including a separately identifiable department or division of a bank) | Yes |
| 6A(8) | Trust company | No |
| 6A(9) | Registered municipal advisor | No |
| 6A(10) | Registered security-based swap dealer | No |
| 6A(11) | Major security-based swap participant | No |
| 6A(12) | Accountant or accounting firm | No |
| 6A(13) | Lawyer or law firm | No |
| 6A(14) | Other financial product salesperson | Yes |
| 6A(14) | Other (specify) | PAYMENTS MERCHANT |
| 6B(1) | Are you actively engaged in any other business not listed in Item 6.A. (other than giving investment advice) | No |
| 6B(3) | Do you sell products or provide services other than investment advice to your advisory clients | Yes |
Related persons that are (Item 7A)
| 7A(1) | Broker-dealer, municipal securities dealer, or government securities broker or dealer (registered or unregistered) | Yes |
| 7A(2) | Other investment adviser (including financial planners) | No |
| 7A(3) | Registered municipal advisor | No |
| 7A(4) | Registered security-based swap dealer | Yes |
| 7A(5) | Major security-based swap participant | No |
| 7A(6) | Commodity pool operator or commodity trading advisor (whether registered or exempt from registration) | No |
| 7A(7) | Futures commission merchant | No |
| 7A(8) | Banking or thrift institution | Yes |
| 7A(9) | Trust company | No |
| 7A(10) | Accountant or accounting firm | No |
| 7A(11) | Lawyer or law firm | No |
| 7A(12) | Insurance company or agency | No |
| 7A(13) | Pension consultant | No |
| 7A(14) | Real estate broker or dealer | No |
| 7A(15) | Sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles | No |
| 7A(16) | Sponsor, general partner, managing member (or equivalent) of pooled investment vehicles | No |
| 7B | Are you an adviser to any private fund | Yes |
| 10A | Does any person not named in Item 1.A. or Schedules A, B, or C, directly or indirectly, control your management or policies | No |
| 11A(1) | Been convicted of or plead guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to any felony | Yes |
| 11A(2) | Been charged with any felony | No |
| 11B(1) | Been convicted of or plead guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a misdemeanor involving: investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses | No |
| 11B(2) | Been charged with a misdemeanor listed in 11.B(1) | No |
| 11C(1) | Found you or any advisory affiliate to have made a false statement or omission | No |
| 11C(2) | Found you or any advisory affiliate to have been involved in a violation of SEC or CFTC regulations or statutes | No |
| 11C(3) | Found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted | No |
| 11C(4) | Entered an order against you or any advisory affiliate in connection with investment-related activity | No |
| 11C(5) | Imposed a civil money penalty on you or any advisory affiliate, or ordered you or any advisory affiliate to cease and desist from any activity | No |
| 11D(1) | Ever found you or any advisory affiliate to have made a false statement or omission, or been dishonest, unfair, or unethical | No |
| 11D(2) | Ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes | Yes |
| 11D(3) | Ever found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted | No |
| 11D(4) | In the past ten years, entered an order against you or any advisory affiliate in connection with an investment-related activity | No |
| 11D(5) | Ever denied, suspended, or revoked your or any advisory affiliate's registration or license, or otherwise prevented you or any advisory affiliate, by order, from associating with an investment-related business or restricted your or any advisory affiliate's activity | No |
| 11E(1) | Found you or any advisory affiliate to have made a false statement or omission | No |
| 11E(2) | Found you or any advisory affiliate to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the SEC) | No |
| 11E(3) | Found you or any advisory affiliate to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted | No |
| 11E(4) | Disciplined you or any advisory affiliate by expelling or suspending you or the advisory affiliate from membership, barring or suspending you or the advisory affiliate from association with other members, or otherwise restricting your or the advisory affiliate's activities | No |
| 11F | Has an authorization to act as an attorney, accountant, or federal contractor granted to you or any advisory affiliate ever been revoked or suspended | No |
| 11G | Are you or any advisory affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of Item 11.C., 11.D., or 11.E | No |
| 11H(1)(a) | The past ten years, enjoined you or any advisory affiliate in connection with any investment-related activity | No |
| 11H(1)(b) | Ever found that you or any advisory affiliate were involved in a violation of investment-related statutes or regulations | No |
| 11H(1)(c) | Ever dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or any advisory affiliate by a state or foreign financial regulatory authority | No |
| 11H(2) | Are you or any advisory affiliate now the subject of any civil proceeding that could result in a "yes" answer to any part of Item 11.H(1) | No |
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