Australia and New Zealand Banking Group Ltd

Date authorised
29 April 1988
Companies House
FC009351
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Level 12, 25 North Colonnade
    London
    E14 5HZ
    UNITED KINGDOM
    Phone
    +442032292121
    Web
    https://www.anz.com

  • Complaints Contact

    25 North Colonnade
    London
    E14 5HZ
    UNITED KINGDOM
    Phone
    +442032292121

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Bank Deposits

    For All, Deposit

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Eligible Counterparty, Professional, Binary Bet, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · Limited to underwriting on own account and to participation in placings on own account and, in carrying on such activities to the specified investment "unit".

  • Trades With You Directly

    For Eligible Counterparty, Professional, Binary Bet, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Unit, Warrant

    Show 1 limitation
    • · When dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.

  • Investment Setup

    For Eligible Counterparty, Professional, Binary Bet, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Structured Deposits, Unit, Warrant

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • David Ryan Rosenthal

    IRN DRR01073

    • CF30 Customer (9 May 2014 to 31 Jan 2016)
  • Deepal Maheshwari

    IRN DXM01464

    • CF23 Corporate Finance Adviser (1 Dec 2001 to 30 Jan 2004)
  • Deirdre Hayes

    IRN DXH01688

    • CF30 Customer (31 May 2011 to 6 Mar 2016)
  • Dhruv Kapoor

    IRN DXK01502

    • CF30 Customer (10 Dec 2012 to 9 May 2014)
  • Diana Sarah Brightmore-Armour

    IRN DSB01088

    • SMF19 Head of Overseas Branch/Head of Overseas (7 Mar 2016 to 20 Dec 2019)
    • CF1 Director (8 Sep 2014 to 6 Mar 2016)
    • CF3 Chief Executive (8 Sep 2014 to 6 Mar 2016)
  • Doreen Alice Abeysundra

    IRN DAA01049

    • CF21 Investment Adviser (10 Jan 2002 to 12 May 2003)
    • CF26 Customer Trading (10 Jan 2002 to 12 May 2003)
  • Douglas Gordon Strong

    IRN DGS01056

    • CF23 Corporate Finance Adviser (7 Jun 2004 to 10 Dec 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 5 Apr 2004)
  • Duncan Geoffrey Holt

    IRN DGH01078

    • CF29 Significant management (17 Feb 2010 to 13 Jul 2011)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (20 Dec 2004 to 31 Oct 2007)
    • CF26 Customer Trading (21 Dec 2001 to 20 Dec 2004)
  • Dylan Eades

    IRN DXE01280

    • CF30 Customer (15 Dec 2014 to 28 Nov 2015)
  • Edward Gibson

    IRN EXG01285

    • [FCA CF] Client dealing (27 May 2024 to 5 Aug 2024)
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Recent activity

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

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