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

• Kate Michaela Birchall

  IRN KMB01091

  • CF21 Investment Adviser (25 Oct 2004 to 17 Jan 2005)
• Katherine Adcock

  IRN KXA01427

  • CF28 Systems and controls (27 Apr 2011 to 13 Jun 2013)
• Katie Louise Bragoli

  IRN KLP01011

  • CF21 Investment Adviser (27 Jul 2006 to 19 Oct 2006)
• Katrina Gardam

  IRN KXG00199

  • [FCA CF] Material risk taker (1 Jan 2022 to 27 Aug 2023)
  • [PRA CF] Significant risk taker or Material risk taker (1 Jan 2022 to 27 Aug 2023)
• Keerti Sethia

  IRN KXS01187

  • CF23 Corporate Finance Adviser (1 Dec 2001 to 9 Aug 2004)
• Keith Alexander Gilmour

  IRN KAG01024

  • CF30 Customer (1 Aug 2013 to 6 Mar 2016)
• Keith Algie

  IRN KXA00157

  • SMF16 Compliance Oversight (28 Oct 2022 to 20 Feb 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (28 Oct 2022 to 20 Feb 2023)
  • SMF4 Chief Risk (13 Sep 2021 to 30 Sep 2024)
• Keith David Osborn

  IRN KDO01004

  • CF21 Investment Adviser (1 Dec 2001 to 6 Feb 2006)
• Kelly-Ann Lesley McKinnis

  IRN KXM00163

  • [FCA CF] Material risk taker (7 Mar 2016 to 19 Apr 2021)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 19 Apr 2021)
• Kevin Alexander Kewley

  IRN KXK01624

  • CF30 Customer (7 May 2014 to 6 Mar 2016)

No changes recorded yet.