FIRM FILES

FIRM AUTHORISATION FILE

Header|Firm Authorisation|20061019|2009|100013|Skipton Financial Services Ltd|5|1|N|PO Box 101||||Skipton|North Yorkshire|BD23|1XT|44|01756|694 670|44|01756|694 622|Authorised|20011201|20011201|SKIPTONFINANCIALSERVICESLTD|20060210|100014|Leek United Building Society|44|1|X|50 St. Edward Street||||Leek|Staffordshire|ST13|5DL|44|01538|384 151|44|01538|399 179|Authorised|20011201|20010704|LEEKUNITEDBUILDINGSOCIETY|20061017|100015|Saffron Building Society|44|1|Z|Saffron House|1a Market Place|||Saffron Walden|Essex|CB10|1HX|44|01799|522 211|44|01799|513 622|Authorised|20011201|20010704|SAFFRONBUILDINGSOCIETY|20061019|100017|SBCA|23|1|N|17 Moor Park Avenue||||Preston|Lancashire|PR1|6AS|44|01772|204 102|44|01772|883 837|Authorised|20011201|20011201|SBCA|20060407|100020|dng Financial Services|23|1|N|225 Watling Street West||||Towcester|Northamptonshire|NN12|6DD|44|01327|350 565|44|01327|359 941|Authorised|20011201|20011201|DNGFINANCIALSERVICES|20060121|100038|Crane & Partners|23|1|N|Sussex House|8-10 Homesdale Road|||Bromley|Kent|BR2|9LZ|44|020|8464 0131|44|020|8464 6018|Authorised|20011201|20011201|CRANEPARTNERS|20060208|100039|Crawfords|23|1|N|Stanton House|41 Blackfriars Road|||Salford|Lancashire|M3|7DB|44|0161|832 5366|44|0161|832 1829|Authorised|20011201|20011201|CRAWFORDS|20060121|100042|Creaseys|23|1|N|12-14 Lonsdale Gardens||||Tunbridge Wells|Kent|TN1|1PA|44|01892|546 546|44|01892|511 232|Cancelled|20060712|20011201|CREASEYS|20060712|100044|Davies Watson|23|1|N|Haybarn House|118 South Street|||Dorking|Surrey|RH4|2EZ||01306|880567||01306|740672|Cancelled|20020709|20011201|DAVIESWATSON|20030613|

FIRM PERMISSION FILE

Header|Firm Permission|20061019|2009|100013|14|31||4|20011201|20011130|100013|14|32||4|20011201|20011130|100013|14|33||4|20011201|20011130|100013|14|34||4|20011201|20011130|100013|14|35||4|20011201|20011130|100013|14|36||4|20011201|20011130|100013|14|44||4|20011201|20011130|100013|14|63||4|20011201|20011130|100013|14|64||4|20011201|20011130|

ALTERNATIVE NAME FILE

Header|Alternative Firm Name|20061019|2009|100014|Mortgage Connections|2|20050112|20050228|MORTGAGECONNECTIONS|20050228|100014|The Mortgage Outlet|2|20050228||THEMORTGAGEOUTLET|20050228|100015|Saffron Walden Herts & Essex Building Society|1|20010704|20060921|SAFFRONWALDENHERTSESSEXBUILDINGSOCIETY|20060921|100017|Stewart Bond|1|19010101|20051130|STEWARTBOND|20051130|100020|dng Dove Naish|1|20020318|20020709|DNGDOVENAISH|20020709|100020|Dove Naish|1|19010101|20020319|DOVENAISH|20020319|100044|Davies Watson & Co|2|19010101||DAVIESWATSONCO|20011108|

APPOINTMENTS FILE

Header|Appointment|20061019|2009|100014|117659|Withdrawn|20011201|20021104|100014|146786|Withdrawn|20011201|20021104|100015|110464|Withdrawn|20011201|20021104|100015|110466|Withdrawn|20011201|20021104|100015|119366|Withdrawn|20011201|20021104|100015|146477|Withdrawn|20011201|20021104|100015|188796|Withdrawn|20011201|20021104|100690|110954|Withdrawn|19010101|20030106|102489|149826|Registered|19940909|20020412|103849|146318|Withdrawn|20030106|20030106|104875|110353|Withdrawn|20020911|20020911|

104875|110355|Withdrawn|20020911|20020911|104875|110382|Withdrawn|20020911|20020911|104875|110410|Withdrawn|20020911|20020911|104875|110432|Withdrawn|20020701|20020701|

PRODUCTS FILE

Header|Product Authorisation|20061019|2009|106448|THE ARBUTHNOT GROWTH FUND|acc. 28 Feb, 2002|Authorised Unit Trust|Authorised|19880429|19880429|122149|N|THEARBUTHNOTGROWTHFUND|20060710|106532|NEW STAR FIXED INTEREST UNIT TRUST||Authorised Unit Trust|Authorised|19880429|19880429|195747|N|NEWSTARFIXEDINTERESTUNITTRUST|20061005|106553|LEGAL & GENERAL (BARCLAYS) AMERICA TRUST |acc. 2 May, 2002/ANNUAL REPORT @ 02.11.02/INTERIM REPORT @ 02.05.03|Authorised Unit Trust|Authorised|19880429|19880429|119273|N|LEGALGENERALBARCLAYSAMERICATRUST|20060717|106571|L&G (BARCLAYS) MANAGED ALPHA TRUST||Authorised Unit Trust|Authorised|19880429|19880429|119273|N|LGBARCLAYSMANAGEDALPHATRUST|20060717|106574|LEGAL & GENERAL (BARCLAYS) 500 TRUST ||Authorised Unit Trust|Authorised|19880429|19880429|119273|N|LEGALGENERALBARCLAYS500TRUST|20060427|106586|LEGAL & GENERAL (BARCLAYS) COMBINED INCOME TRUST |Manager rep. MAR 2002; Interim rep. ended 16.07.02; Annual rep. yr end 16.01.03/INTERIM REPORT @ 16.07.03|Authorised Unit Trust|Authorised|19880429|19880429|119273|N|LEGALGENERALBARCLAYSCOMBINEDINCOMETRUST|20061005|106592|LEGAL & GENERAL (BARCLAYS) JAPAN TRUST ||Authorised Unit Trust|Authorised|19880429|19880429|119273|N|LEGALGENERALBARCLAYSJAPANTRUST|20060612|106613|LEGAL & GENERAL (BARCLAYS) WORLDWIDE TRUST |Annual rep. year end 02.07.02; Manager rep. MAR 2002; Interim rep. end 02.01.03/MANAGER INTERIM REPORT @ MARCH 2002/ANNUAL REPORT @ 22.07.03|Authorised Unit Trust|Authorised|19880429|19880429|119273|N|LEGALGENERALBARCLAYSWORLDWIDETRUST|20060918|106625|BARING EASTERN TRUST||Authorised Unit Trust|Authorised|19880429|19880429|119187|N|BARINGEASTERNTRUST|20051117|106628|BARING EQUITY INCOME TRUST||Authorised Unit Trust|Authorised|19880429|19880429|119187|N|BARINGEQUITYINCOMETRUST|20051117|106631|BARING EUROPE SELECT TRUST||Authorised Unit Trust|Authorised|19880429|19880429|119187|N|BARINGEUROPESELECTTRUST|20051117|106637|BARING EUROPEAN GROWTH TRUST||Authorised Unit Trust|Authorised|19880429|19880429|119187|N|BARINGEUROPEANGROWTHTRUST|20051216|106643|BARING AMERICAN GROWTH TRUST||Authorised Unit Trust|Authorised|19880429|19880429|119187|N|BARINGAMERICANGROWTHTRUST|20051117|106646|BARING UK SMALLER COMPANIES TRUST||Authorised Unit Trust|Authorised|19880429|19880429|119187|N|BARINGUKSMALLERCOMPANIESTRUST|20051117|106649|BARING GLOBAL GROWTH TRUST||Authorised Unit Trust|Authorised|19880429|19880429|119187|N|BARINGGLOBALGROWTHTRUST|20051117|106652|BARING PORTFOLIO FUND||Authorised Unit Trust|Authorised|19880429|19880429|119187|N|BARINGPORTFOLIOFUND|20051117|106655|BARING JAPAN GROWTH TRUST||Authorised Unit Trust|Authorised|19880429|19880429|119187|N|BARINGJAPANGROWTHTRUST|20051117|106664|BARING UK GROWTH TRUST||Authorised Unit Trust|Authorised|19880429|19880429|119187|N|BARINGUKGROWTHTRUST|20051117|106676|ST. JAMES'S PLACE INTERNATIONAL UNIT TRUST||Authorised Unit Trust|Authorised|19880429|19880429|122472|N|STJAMESSPLACEINTERNATIONALUNITTRUST|20061005|

INDIVIDUAL FILES

INDIVIDUALS FILE

Header|Approved Individual Details|20061019|2009|AAA00001|Mr Alaba Adewale Adebajo|||4|ADEBAJOALABAADEWALE|20041023|AAA00002|Mr Andy Ademola Adewale|||4|ADEWALEANDYADEMOLA|20020529|AAA00003|Mr Adrian Alexander Arnold|||3|ARNOLDADRIANALEXANDER|20021129|AAA00004|Mr Anthony Alston Addison|||4|ADDISONANTHONYALSTON|20030620|AAA00005|Mr Anthony Andrew Apps|||4|APPSANTHONYANDREW|20030428|AAA00006|Miss Arleen Ann Arnott|||3|ARNOTTARLEENANN|20021129|AAA00007|Miss Adelayo Abibat Adetunji|||3|ADETUNJIADELAYOABIBAT|20030923|AAA00008|Mr Anthony Alex Antoniou|||4|ANTONIOUANTHONYALEX|20061005|AAA00009|Mr Amos Adedeji Adeyeye|||4|ADEYEYEAMOSADEDEJI|20050108|AAA01013|Mr Alan Archibald Aitchison|||4|AITCHISONALANARCHIBALD|20011106|AAA01014|Mrs Ayse Arzu Akkemik|||4|AKKEMIKAYSEARZU|20060131|AAA01020|Mr Ali Aijaz Abedi|||3|ABEDIALIAIJAZ|20050311|AAA01021|Mr Amir Ali Abidi|||3|ABIDIAMIRALI|20021129|AAA01022|Mr Alexander Alfred Austin|||3|AUSTINALEXANDERALFRED|20021129|AAA01023|Mr Ademola Adebowale Adebajo|||4|ADEBAJOADEMOLAADEBOWALE|20021211|AAA01024|Mr Andreas Arthur Apitz|||3|APITZANDREASARTHUR|20030729|AAA01027|Mr Adnan Aziz Ahmed|||3|AHMEDADNANAZIZ|20060315|AAA01034|Mr Ahmad Alman Aslam|||3|ASLAMAHMADALMAN|20040804|AAA01035|Mr Abdulkader Abdullah Al-Qadi|||3|ALQADIABDULKADERABDULLAH|20050630|AAA01036|Mr Abdulla Abdul Aziz Al Qandi|||3|ALQANDIABDULLAABDULAZIZ|20021213|

CONTROLLED FUNCTION FILE

Header|Approved Individual Controlled Functions|20061019|2009|AAA00001|160990|44|20011201|20040505|20041023|AAA00001|150026|44|20011201|20030603|20041023|AAA00001|304508|22|20041031||20041030|AAA00001|304508|60|20050114||20050113|AAA00001|304508|29|20041031||20041030|AAA00001|122472|44|20011201|20030603|20041023|AAA00001|195351|44|20011201|20030929|20041023|AAA00002|217742|22|20021108||20021129|AAA00002|217742|30|20021108||20021129|AAA00002|217742|31|20021108||20021129|AAA00002|217742|44|20021108||20021129|AAA00002|217742|60|20050114||20050113|AAA00002|184591|44|20011201|20020611|20020920|AAA00003|141726|44|20011201|20020523|20020530|AAA00004|213321|23|20030620||20030620|AAA00004|191518|44|20011201|20011231|20030610|AAA00004|191517|44|20011201|20011231|20030610|AAA00005|440557|30|20060130||20060130|AAA00005|440557|29|20060130||20060130|AAA00005|440557|22|20060130||20060130|AAA00005|440557|44|20060130||20060130|AAA00005|440557|43|20060130||20060130|

APPOINTMENT EMPLOYMENT FILE

Header|Approved Individual Appointments|20061019|2009|AAA00005|200148|21|19981001|20020215|20030428|AAA00005|182132|21|20011201|20060131|20060131|AAA01104|429760|21|20050330|20060428|20060426|AAA01113|448021|21|20060216||20060216|AAB00006|232217|21|20040318||20050128|AAB00006|419772|21|20050114||20050114|AAB00006|189687|21|19981001|20040316|20040918|AAB00010|401769|21|20040119|20050518|20050518|AAB00014|110396|21|20031125|20050114|20050114|AAB00015|210576|21|20020321||20020321|AAB00018|194619|21|20050425|20050812|20050812|AAB00018|200111|21|20020802|20040120|20040120|AAB00018|229995|21|20031212||20050607|AAB00020|187077|21|20000809|20031222|20040918|AAC00003|157437|21|19990409|20020607|20040918|AAC00014|158244|21|19990316|20041129|20041129|AAC00014|114974|21|20011201|20041129|20041129|AAC00019|196223|21|20020218|20020514|20020514|AAC00019|207016|21|20020726|20040416|20040918|AAC00019|215749|21|20011201|20020723|20040918|AAC00020|193340|21|20020530|20020722|20040918|AAC01033|416233|21|20050211|20060605|20060605|AAC01043|229450|21|20040226|20050310|20050310|AAC01046|213048|21|20020715|20040408|20040918|AAC01057|424846|21|20050303||20050303|

100013|Skipton Financial Services Ltd|5|1|N|PO Box 101||||Skipton|North Yorkshire|BD23|1XT|44|01756|694 670|44|01756|694 622|Authorised|20011201|20011201|SKIPTONFINANCIALSERVICESLTD|20060210|100014|Leek United Building Society|44|1|X|50 St. Edward Street||||Leek|Staffordshire|ST13|5DL|44|01538|384 151|44|01538|399 179|Authorised|20011201|20010704|LEEKUNITEDBUILDINGSOCIETY|20061017|100015|Saffron Building Society|44|1|Z|Saffron House|1a Market Place|||Saffron Walden|Essex|CB10|1HX|44|01799|522 211|44|01799|513 622|Authorised|20011201|20010704|SAFFRONBUILDINGSOCIETY|20061019|100017|SBCA|23|1|N|17 Moor Park Avenue||||Preston|Lancashire|PR1|6AS|44|01772|204 102|44|01772|883 837|Authorised|20011201|20011201|SBCA|20060407|100020|dng Financial Services|23|1|N|225 Watling Street West||||Towcester|Northamptonshire|NN12|6DD|44|01327|350 565|44|01327|359 941|Authorised|20011201|20011201|DNGFINANCIALSERVICES|20060121|100038|Crane & Partners|23|1|N|Sussex House|8-10 Homesdale Road|||Bromley|Kent|BR2|9LZ|44|020|8464 0131|44|020|8464 6018|Authorised|20011201|20011201|CRANEPARTNERS|20060208|100039|Crawfords|23|1|N|Stanton House|41 Blackfriars Road|||Salford|Lancashire|M3|7DB|44|0161|832 5366|44|0161|832 1829|Authorised|20011201|20011201|CRAWFORDS|20060121|100042|Creaseys|23|1|N|12-14 Lonsdale Gardens||||Tunbridge Wells|Kent|TN1|1PA|44|01892|546 546|44|01892|511 232|Cancelled|20060712|20011201|CREASEYS|20060712|100044|Davies Watson|23|1|N|Haybarn House|118 South Street|||Dorking|Surrey|RH4|2EZ||01306|880567||01306|740672|Cancelled|20020709|20011201|DAVIESWATSON|20030613|

100015|Saffron Walden Herts & Essex Building Society|1|20010704|20060921|SAFFRONWALDENHERTSESSEXBUILDINGSOCIETY|20060921|

106448|THE ARBUTHNOT GROWTH FUND|acc. 28 Feb, 2002|Authorised Unit Trust|Authorised|19880429|19880429|122149|N|THEARBUTHNOTGROWTHFUND|20060710|106532|NEW STAR FIXED INTEREST UNIT TRUST||Authorised Unit Trust|Authorised|19880429|19880429|195747|N|NEWSTARFIXEDINTERESTUNITTRUST|20061005|106553|LEGAL & GENERAL (BARCLAYS) AMERICA TRUST |acc. 2 May, 2002/ANNUAL REPORT @ 02.11.02/INTERIM REPORT @ 02.05.03|Authorised Unit Trust|Authorised|19880429|19880429|119273|N|LEGALGENERALBARCLAYSAMERICATRUST|20060717|106571|L&G (BARCLAYS) MANAGED ALPHA TRUST||Authorised Unit Trust|Authorised|19880429|19880429|119273|N|LGBARCLAYSMANAGEDALPHATRUST|20060717|106574|LEGAL & GENERAL (BARCLAYS) 500 TRUST ||Authorised Unit Trust|Authorised|19880429|19880429|119273|N|LEGALGENERALBARCLAYS500TRUST|20060427|106586|LEGAL & GENERAL (BARCLAYS) COMBINED INCOME TRUST |Manager rep. MAR 2002; Interim rep. ended 16.07.02; Annual rep. yr end 16.01.03/INTERIM REPORT @ 16.07.03|Authorised Unit Trust|Authorised|19880429|19880429|119273|N|LEGALGENERALBARCLAYSCOMBINEDINCOMETRUST|20061005|106592|LEGAL & GENERAL (BARCLAYS) JAPAN TRUST ||Authorised Unit Trust|Authorised|19880429|19880429|119273|N|LEGALGENERALBARCLAYSJAPANTRUST|20060612|106613|LEGAL & GENERAL (BARCLAYS) WORLDWIDE TRUST |Annual rep. year end 02.07.02; Manager rep. MAR 2002; Interim rep. end 02.01.03/MANAGER INTERIM REPORT @ MARCH 2002/ANNUAL REPORT @ 22.07.03|Authorised Unit Trust|Authorised|19880429|19880429|119273|N|LEGALGENERALBARCLAYSWORLDWIDETRUST|20060918|106625|BARING EASTERN TRUST||Authorised Unit Trust|Authorised|19880429|19880429|119187|N|BARINGEASTERNTRUST|20051117|106628|BARING EQUITY INCOME TRUST||Authorised Unit Trust|Authorised|19880429|19880429|119187|N|BARINGEQUITYINCOMETRUST|20051117|106631|BARING EUROPE SELECT TRUST||Authorised Unit Trust|Authorised|19880429|19880429|119187|N|BARINGEUROPESELECTTRUST|20051117|106637|BARING EUROPEAN GROWTH TRUST||Authorised Unit Trust|Authorised|19880429|19880429|119187|N|BARINGEUROPEANGROWTHTRUST|20051216|106643|BARING AMERICAN GROWTH TRUST||Authorised Unit Trust|Authorised|19880429|19880429|119187|N|BARINGAMERICANGROWTHTRUST|20051117|106646|BARING UK SMALLER COMPANIES TRUST||Authorised Unit Trust|Authorised|19880429|19880429|119187|N|BARINGUKSMALLERCOMPANIESTRUST|20051117|106649|BARING GLOBAL GROWTH TRUST||Authorised Unit Trust|Authorised|19880429|19880429|119187|N|BARINGGLOBALGROWTHTRUST|20051117|106652|BARING PORTFOLIO FUND||Authorised Unit Trust|Authorised|19880429|19880429|119187|N|BARINGPORTFOLIOFUND|20051117|106655|BARING JAPAN GROWTH TRUST||Authorised Unit Trust|Authorised|19880429|19880429|119187|N|BARINGJAPANGROWTHTRUST|20051117|106664|BARING UK GROWTH TRUST||Authorised Unit Trust|Authorised|19880429|19880429|119187|N|BARINGUKGROWTHTRUST|20051117|106676|ST. JAMES'S PLACE INTERNATIONAL UNIT TRUST||Authorised Unit Trust|Authorised|19880429|19880429|122472|N|STJAMESSPLACEINTERNATIONALUNITTRUST|20061005|

100013|Skipton Financial Services Ltd|5|1|N|PO Box 101||||Skipton|North Yorkshire|BD23|1XT|44|01756|694 670|44|01756|694 622|Authorised|20011201|20011201|SKIPTONFINANCIALSERVICESLTD|20060210|100014|Leek United Building Society|44|1|X|50 St. Edward Street||||Leek|Staffordshire|ST13|5DL|44|01538|384 151|44|01538|399 179|Authorised|20011201|20010704|LEEKUNITEDBUILDINGSOCIETY|20061017|100015|Saffron Building Society|44|1|Z|Saffron House|1a Market Place|||Saffron Walden|Essex|CB10|1HX|44|01799|522 211|44|01799|513 622|Authorised|20011201|20010704|SAFFRONBUILDINGSOCIETY|20061019|

100020|dng Financial Services|23|1|N|225 Watling Street West||||Towcester|Northamptonshire|NN12|6DD|44|01327|350 565|44|01327|359 941|Authorised|20011201|20011201|DNGFINANCIALSERVICES|20060121|

106553|LEGAL & GENERAL (BARCLAYS) AMERICA TRUST |acc. 2 May, 2002/ANNUAL REPORT @ 02.11.02/INTERIM REPORT @ 02.05.03|Authorised Unit Trust|Authorised|19880429|19880429|119273|N|LEGALGENERALBARCLAYSAMERICATRUST|20060717|

106586|LEGAL & GENERAL (BARCLAYS) COMBINED INCOME TRUST |Manager rep. MAR 2002; Interim rep. ended 16.07.02; Annual rep. yr end 16.01.03/INTERIM REPORT @ 16.07.03|Authorised Unit Trust|Authorised|19880429|19880429|119273|N|LEGALGENERALBARCLAYSCOMBINEDINCOMETRUST|20061005|

106613|LEGAL & GENERAL (BARCLAYS) WORLDWIDE TRUST |Annual rep. year end 02.07.02; Manager rep. MAR 2002; Interim rep. end 02.01.03/MANAGER INTERIM REPORT @ MARCH 2002/ANNUAL REPORT @ 22.07.03|Authorised Unit Trust|Authorised|19880429|19880429|119273|N|LEGALGENERALBARCLAYSWORLDWIDETRUST|20060918|

106586|LEGAL & GENERAL (BARCLAYS) COMBINED INCOME TRUST |Manager rep. MAR 2002; Interim rep. ended 16.07.02; Annual rep. yr end 16.01.03/INTERIM REPORT @ 16.07.03|Authorised Unit Trust|Authorised|19880429|19880429|119273|N|LEGALGENERALBARCLAYSCOMBINEDINCOMETRUST|20061005|

106613|LEGAL & GENERAL (BARCLAYS) WORLDWIDE TRUST |Annual rep. year end 02.07.02; Manager rep. MAR 2002; Interim rep. end 02.01.03/MANAGER INTERIM REPORT @ MARCH 2002/ANNUAL REPORT @ 22.07.03|Authorised Unit Trust|Authorised|19880429|19880429|119273|N|LEGALGENERALBARCLAYSWORLDWIDETRUST|20060918|

FIRM AUTHORISATION FILE

This file contains basic contact details for the firm, as well as their legal status, firm type, authorisation status and authority to hold client money. The FRN is linked to the majority of other files.Firm Reference Number

100013100014100015100017100020100038100039100042100044

FIRM PERMISSION FILE

This file contains details of the regulated activities the firm is permitted (or has been permitted) to carry on, along with the associated investment and customer types

Firm Reference Number

100013100013100013100013100013100013100013100013100013

Further information on the structure of the Firm Permission file can be found on page 13. Details of the file content (code meanings) can be found on pages 20 to 24

ALTERNATIVE NAME FILE

This file contains current and previous alternative firm names (Trading, Common and Registered) for the FRNs contained in the Firm authorisation file

Firm Reference Number100014100014100015100017100020100020100044

Further information on the structure of the Alternative Names file can be found on page 13. Details of the file content (code meanings) can be found on page 19

APPOINTMENTS FILE

This file displays the links between authorised firms (principal) and their appointed representatives.

Appointed Representative Firm Reference Number100014100014100015100015100015100015100015100690102489103849104875104875104875104875104875

Further information on the structure of the Appointments file can be found on page 14. Details of the file content (code meanings) can be found on page 20

PRODUCTS FILE

This file contains details of authorised products and the product operator's FRN.

Product reference number

106448106532106553106571106574106586106592106613106625106628106631106637106643106646106649106652106655106664106676

Further information on the structure of the Products file can be found on page 14.

INDIVIDUALS FILE

This file contains full details of an approved person, along with their current status.

Individual reference numberAAA00001

AAA00002AAA00003AAA00004AAA00005AAA00006AAA00007AAA00008AAA00009AAA01013AAA01014AAA01020AAA01021AAA01022AAA01023AAA01024AAA01027AAA01034AAA01035AAA01036

Further information on the structure of the Individuals file can be found on page 15. Details of the file content (code meanings) can be found on page 25

CONTROLLED FUNCTION FILE

This file shows the controlled functions that each of the FCA/PRA approved persons (individuals) is permitted to carry out, as well as the firm at which they are permitted to continue these activities

Individual reference numberAAA00001AAA00001AAA00001AAA00001AAA00001AAA00001AAA00001AAA00002AAA00002AAA00002AAA00002AAA00002AAA00002AAA00003AAA00004AAA00004AAA00004AAA00005AAA00005AAA00005AAA00005AAA00005

Further information on the structure of the Individuals controlled functions file can be found on page 16. Details of the file content (code meanings) can be found on pages 25 and 26.

APPOINTMENT EMPLOYMENT FILE

This file shows details of employment of FCA/PRA approved individuals at FCA/PRA authorised firms

Individual Reference NumberAAA00005AAA00005AAA01104AAA01113AAB00006AAB00006AAB00006AAB00010AAB00014AAB00015AAB00018AAB00018AAB00018AAB00020AAC00003AAC00014AAC00014AAC00019AAC00019AAC00019AAC00020AAC01033AAC01043AAC01046AAC01057

Further information on the structure of the Individuals employment file can be found on page 16. Details of the file content (code meanings) can be found on page 26.

This file contains basic contact details for the firm, as well as their legal status, firm type, authorisation status and authority to hold client money. The FRN is linked to the majority of other files.Registered Firm NameSkipton Financial Services LtdLeek United Building SocietySaffron Building SocietySBCAdng Financial ServicesCrane & PartnersCrawfordsCreaseysDavies Watson

This file contains details of the regulated activities the firm is permitted (or has been permitted) to carry on, along with the associated investment and customer types

Regulated activity code

141414141414141414

Further information on the structure of the Firm Permission file can be found on page 13. Details of the file content (code meanings) can be found on pages 20 to 24

This file contains current and previous alternative firm names (Trading, Common and Registered) for the FRNs contained in the Firm authorisation file

Alternative nameMortgage ConnectionsThe Mortgage OutletSaffron Walden Herts & Essex Building SocietyStewart Bonddng Dove NaishDove NaishDavies Watson & Co

Further information on the structure of the Alternative Names file can be found on page 13. Details of the file content (code meanings) can be found on page 19

This file displays the links between authorised firms (principal) and their appointed representatives.

Further information on the structure of the Firm Authorisation file can be found on page 12 of the Subscribers Handbook. Details of the file content (code meanings) can be found on pages 18 and 19

Principal Firm reference number117659146786110464110466119366146477188796110954149826146318110353110355110382110410110432

Further information on the structure of the Appointments file can be found on page 14. Details of the file content (code meanings) can be found on page 20

This file contains details of authorised products and the product operator's FRN.

Product name

THE ARBUTHNOT GROWTH FUNDNEW STAR FIXED INTEREST UNIT TRUSTLEGAL & GENERAL (BARCLAYS) AMERICA TRUST L&G (BARCLAYS) MANAGED ALPHA TRUSTLEGAL & GENERAL (BARCLAYS) 500 TRUST LEGAL & GENERAL (BARCLAYS) COMBINED INCOME TRUST LEGAL & GENERAL (BARCLAYS) JAPAN TRUST LEGAL & GENERAL (BARCLAYS) WORLDWIDE TRUST BARING EASTERN TRUSTBARING EQUITY INCOME TRUSTBARING EUROPE SELECT TRUSTBARING EUROPEAN GROWTH TRUSTBARING AMERICAN GROWTH TRUSTBARING UK SMALLER COMPANIES TRUSTBARING GLOBAL GROWTH TRUSTBARING PORTFOLIO FUNDBARING JAPAN GROWTH TRUSTBARING UK GROWTH TRUSTST. JAMES'S PLACE INTERNATIONAL UNIT TRUST

Further information on the structure of the Products file can be found on page 14.

This file contains full details of an approved person, along with their current status.

Full NameMr Alaba Adewale Adebajo

Mr Andy Ademola AdewaleMr Adrian Alexander ArnoldMr Anthony Alston AddisonMr Anthony Andrew AppsMiss Arleen Ann ArnottMiss Adelayo Abibat AdetunjiMr Anthony Alex AntoniouMr Amos Adedeji AdeyeyeMr Alan Archibald AitchisonMrs Ayse Arzu AkkemikMr Ali Aijaz AbediMr Amir Ali AbidiMr Alexander Alfred AustinMr Ademola Adebowale AdebajoMr Andreas Arthur ApitzMr Adnan Aziz AhmedMr Ahmad Alman AslamMr Abdulkader Abdullah Al-QadiMr Abdulla Abdul Aziz Al Qandi

Further information on the structure of the Individuals file can be found on page 15. Details of the file content (code meanings) can be found on page 25

This file shows the controlled functions that each of the FCA/PRA approved persons (individuals) is permitted to carry out, as well as the firm at which they are permitted to continue these activities

Firm Reference Number160990150026304508304508304508122472195351217742217742217742217742217742184591141726213321191518191517440557440557440557440557440557

Further information on the structure of the Individuals controlled functions file can be found on page 16. Details of the file content (code meanings) can be found on pages 25 and 26.

This file shows details of employment of FCA/PRA approved individuals at FCA/PRA authorised firms

Firm Reference Number200148182132429760448021232217419772189687401769110396210576194619200111229995187077157437158244114974196223207016215749193340416233229450213048424846

Further information on the structure of the Individuals employment file can be found on page 16. Details of the file content (code meanings) can be found on page 26.

This file contains basic contact details for the firm, as well as their legal status, firm type, authorisation status and authority to hold client money. The FRN is linked to the majority of other files.Firm Legal Status Type Code

54444232323232323

This file contains details of the regulated activities the firm is permitted (or has been permitted) to carry on, along with the associated investment and customer types

Investment type code

313233343536446364

Further information on the structure of the Firm Permission file can be found on page 13. Details of the file content (code meanings) can be found on pages 20 to 24

This file contains current and previous alternative firm names (Trading, Common and Registered) for the FRNs contained in the Firm authorisation file

Alternative name type code2211112

Further information on the structure of the Alternative Names file can be found on page 13. Details of the file content (code meanings) can be found on page 19

Further information on the structure of the Firm Authorisation file can be found on page 12 of the Subscribers Handbook. Details of the file content (code meanings) can be found on pages 18 and 19

Status CodeWithdrawnWithdrawnWithdrawnWithdrawnWithdrawnWithdrawnWithdrawnWithdrawnRegisteredWithdrawnWithdrawnWithdrawnWithdrawnWithdrawnWithdrawn

Further information on the structure of the Appointments file can be found on page 14. Details of the file content (code meanings) can be found on page 20

Product description

acc. 28 Feb, 2002

acc. 2 May, 2002/ANNUAL REPORT @ 02.11.02/INTERIM REPORT @ 02.05.03

Manager rep. MAR 2002; Interim rep. ended 16.07.02; Annual rep. yr end 16.01.03/INTERIM REPORT @ 16.07.03

Annual rep. year end 02.07.02; Manager rep. MAR 2002; Interim rep. end 02.01.03/MANAGER INTERIM REPORT @ MARCH 2002/ANNUAL REPORT @ 22.07.03

NI Number

Further information on the structure of the Individuals file can be found on page 15. Details of the file content (code meanings) can be found on page 25

This file shows the controlled functions that each of the FCA/PRA approved persons (individuals) is permitted to carry out, as well as the firm at which they are permitted to continue these activities

Function code44442260294444223031446044442344443029224443

Further information on the structure of the Individuals controlled functions file can be found on page 16. Details of the file content (code meanings) can be found on pages 25 and 26.

Status code21212121212121212121212121212121212121212121212121

Further information on the structure of the Individuals employment file can be found on page 16. Details of the file content (code meanings) can be found on page 26.

Firm Type Code Authority to hold client money1 N1 X1 Z1 N1 N1 N1 N1 N1 N

Customer type code Status code

444444444

Effective date End date20050112 200502282005022820010704 2006092119010101 2005113020020318 2002070919010101 2002031919010101

Further information on the structure of the Firm Authorisation file can be found on page 12 of the Subscribers Handbook. Details of the file content (code meanings) can be found on pages 18 and 19

Status effective date Last update date20011201 2002110420011201 2002110420011201 2002110420011201 2002110420011201 2002110420011201 2002110420011201 2002110419010101 2003010619940909 2002041220030106 2003010620020911 2002091120020911 2002091120020911 2002091120020911 2002091120020701 20020701

Product legal form Current product status

Authorised Unit Trust AuthorisedAuthorised Unit Trust AuthorisedAuthorised Unit Trust AuthorisedAuthorised Unit Trust AuthorisedAuthorised Unit Trust AuthorisedAuthorised Unit Trust AuthorisedAuthorised Unit Trust AuthorisedAuthorised Unit Trust AuthorisedAuthorised Unit Trust AuthorisedAuthorised Unit Trust AuthorisedAuthorised Unit Trust AuthorisedAuthorised Unit Trust AuthorisedAuthorised Unit Trust AuthorisedAuthorised Unit Trust AuthorisedAuthorised Unit Trust AuthorisedAuthorised Unit Trust AuthorisedAuthorised Unit Trust AuthorisedAuthorised Unit Trust AuthorisedAuthorised Unit Trust Authorised

DOB Status code4

4344334444333433333

Start date End date20011201 2004050520011201 2003060320041031200501142004103120011201 2003060320011201 20030929200211082002110820021108200211082005011420011201 2002061120011201 200205232003062020011201 2001123120011201 200112312006013020060130200601302006013020060130

Start date End date19981001 2002021520011201 2006013120050330 2006042820060216200403182005011419981001 2004031620040119 2005051820031125 200501142002032120050425 2005081220020802 200401202003121220000809 2003122219990409 2002060719990316 2004112920011201 2004112920020218 2002051420020726 2004041620011201 2002072320020530 2002072220050211 2006060520040226 2005031020020715 2004040820050303

FIRM FILES

Principal address line 1 Principal address line 2PO Box 10150 St. Edward StreetSaffron House 1a Market Place17 Moor Park Avenue225 Watling Street WestSussex House 8-10 Homesdale RoadStanton House 41 Blackfriars Road12-14 Lonsdale GardensHaybarn House 118 South Street

Effective date Last update date

20011201 2001113020011201 2001113020011201 2001113020011201 2001113020011201 2001113020011201 2001113020011201 2001113020011201 2001113020011201 20011130

Sort code Last update dateMORTGAGECONNECTIONS 20050228THEMORTGAGEOUTLET 20050228SAFFRONWALDENHERTSESSEXBUILDINGSOCIETY 20060921STEWARTBOND 20051130DNGDOVENAISH 20020709DOVENAISH 20020319DAVIESWATSONCO 20011108

Date status last changed Date first authorised by regulator

19880429 1988042919880429 1988042919880429 1988042919880429 1988042919880429 1988042919880429 1988042919880429 1988042919880429 1988042919880429 1988042919880429 1988042919880429 1988042919880429 1988042919880429 1988042919880429 1988042919880429 1988042919880429 1988042919880429 1988042919880429 1988042919880429 19880429

INDIVIDUAL FILES

SortKey Last update dateADEBAJOALABAADEWALE 20041023

ADEWALEANDYADEMOLA 20020529ARNOLDADRIANALEXANDER 20021129ADDISONANTHONYALSTON 20030620APPSANTHONYANDREW 20030428ARNOTTARLEENANN 20021129ADETUNJIADELAYOABIBAT 20030923ANTONIOUANTHONYALEX 20061005ADEYEYEAMOSADEDEJI 20050108AITCHISONALANARCHIBALD 20011106AKKEMIKAYSEARZU 20060131ABEDIALIAIJAZ 20050311ABIDIAMIRALI 20021129AUSTINALEXANDERALFRED 20021129ADEBAJOADEMOLAADEBOWALE 20021211APITZANDREASARTHUR 20030729AHMEDADNANAZIZ 20060315ASLAMAHMADALMAN 20040804ALQADIABDULKADERABDULLAH 20050630ALQANDIABDULLAABDULAZIZ 20021213

Last update date20041023200410232004103020050113200410302004102320041023200211292002112920021129200211292005011320020920200205302003062020030610200306102006013020060130200601302006013020060130

Last update date20030428200601312006042620060216200501282005011420040918200505182005011420020321200508122004012020050607200409182004091820041129200411292002051420040918200409182004091820060605200503102004091820050303

Principal address line 3 Principal address line 4

Operator Firm reference numberSub-Fund flag

122149 N195747 N119273 N119273 N119273 N119273 N119273 N119273 N119187 N119187 N119187 N119187 N119187 N119187 N119187 N119187 N119187 N119187 N122472 N

Principal address line 5 Principal address line 6 Postcode OutSkipton North Yorkshire BD23Leek Staffordshire ST13Saffron Walden Essex CB10Preston Lancashire PR1Towcester Northamptonshire NN12Bromley Kent BR2Salford Lancashire M3Tunbridge Wells Kent TN1Dorking Surrey RH4

Sort Key Last update date

THEARBUTHNOTGROWTHFUND 20060710NEWSTARFIXEDINTERESTUNITTRUST 20061005LEGALGENERALBARCLAYSAMERICATRUST 20060717LGBARCLAYSMANAGEDALPHATRUST 20060717LEGALGENERALBARCLAYS500TRUST 20060427LEGALGENERALBARCLAYSCOMBINEDINCOMETRUST 20061005LEGALGENERALBARCLAYSJAPANTRUST 20060612LEGALGENERALBARCLAYSWORLDWIDETRUST 20060918BARINGEASTERNTRUST 20051117BARINGEQUITYINCOMETRUST 20051117BARINGEUROPESELECTTRUST 20051117BARINGEUROPEANGROWTHTRUST 20051216BARINGAMERICANGROWTHTRUST 20051117BARINGUKSMALLERCOMPANIESTRUST 20051117BARINGGLOBALGROWTHTRUST 20051117BARINGPORTFOLIOFUND 20051117BARINGJAPANGROWTHTRUST 20051117BARINGUKGROWTHTRUST 20051117STJAMESSPLACEINTERNATIONALUNITTRUST 20061005

Postcode In Telephone no -country prefix Telephone no - Area code1XT 44 17565DL 44 15381HX 44 17996AS 44 17726DD 44 13279LZ 44 207DB 44 1611PA 44 18922EZ 1306

Telephone no - Local number Fax no -country prefix Fax no - Area code694 670 44 1756384 151 44 1538522 211 44 1799204 102 44 1772350 565 44 13278464 0131 44 20832 5366 44 161546 546 44 1892

880567 1306

Fax no - Local number Current authorisation status code Date status last changed694 622 Authorised 20011201399 179 Authorised 20011201513 622 Authorised 20011201883 837 Authorised 20011201359 941 Authorised 200112018464 6018 Authorised 20011201832 1829 Authorised 20011201511 232 Cancelled 20060712

740672 Cancelled 20020709

Date first authorised by Regulator Sort Key Last update date20011201 SKIPTONFINANCIALSERVICESLTD 2006021020010704 LEEKUNITEDBUILDINGSOCIETY 2006101720010704 SAFFRONBUILDINGSOCIETY 2006101920011201 SBCA 2006040720011201 DNGFINANCIALSERVICES 2006012120011201 CRANEPARTNERS 2006020820011201 CRAWFORDS 2006012120011201 CREASEYS 2006071220011201 DAVIESWATSON 20030613