Australia and New Zealand Banking Group Ltd

• 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

• Bank Deposits

  For All, Deposit

• Authorised to Operate

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  • · 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

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  • · 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

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  • · 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

• John Barrett Snelling

  IRN JBS01067

  • CF23 Corporate Finance Adviser (1 Apr 2004 to 18 Jan 2006)
• John Edmund Caldwell Adamson

  IRN JEA01053

  • CF21 Investment Adviser (8 Nov 2004 to 11 Apr 2007)
• John Gavin Fisher

  IRN JGF01024

  • CF30 Customer (13 Jan 2011 to 30 Jun 2014)
• John Michael Lloyd Newbury

  IRN JMN01049

  • [FCA CF] Client dealing (7 Mar 2016 to 6 May 2019)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (1 Aug 2007 to 31 Oct 2007)
  • CF26 Customer Trading (9 Oct 2002 to 5 Mar 2004)
• John Patrick Barr

  IRN JPB01146

  • CF21 Investment Adviser (1 Dec 2001 to 5 Apr 2004)
• John Philip McCartney

  IRN JPM01165

  • CF21 Investment Adviser (1 Dec 2001 to 8 Aug 2003)
  • CF26 Customer Trading (1 Dec 2001 to 8 Aug 2003)
• Jonathan Ford Hale

  IRN JFH01079

  • [FCA CF] Material risk taker (13 Sep 2021 to 9 Feb 2024)
  • [PRA CF] Significant risk taker or Material risk taker (13 Sep 2021 to 9 Feb 2024)
  • [FCA CF] Client dealing (13 Sep 2021 to 9 Feb 2024)
• Jonathan James Shelby

  IRN JJS01119

  • CF10 Compliance Oversight (20 May 2009 to 11 Aug 2009)
• Jonathan Kwok Wei Tse

  IRN JXT01207

  • CF30 Customer (28 Aug 2008 to 9 Feb 2011)
• Jonathan Lyall Farquharson

  IRN JLF01061

  • CF28 Systems and controls (1 Jul 2010 to 12 Sep 2014)

No changes recorded yet.