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

• Lisa Marie Walker

  IRN LMW01088

  • SMF16 Compliance Oversight (23 Nov 2017 to 12 May 2018)
  • CF10 Compliance Oversight (10 Jun 2015 to 18 Jan 2016)
• Louise Barbara O'Brien

  IRN LBO01003

  • CF28 Systems and controls (2 Mar 2010 to 29 Apr 2013)
• Luca Jellinek

  IRN LXJ01035

  • CF30 Customer (17 Sep 2009 to 28 May 2010)
• Lucy O'Donnell

  IRN LXO01025

  • [PRA CF] Significant risk taker or Material risk taker (since 1 Oct 2020)
  • [FCA CF] Material risk taker (since 1 Oct 2020)
  • [FCA CF] Manager of certification employee (since 4 Jul 2019)
  • [FCA CF] Client dealing (since 7 Mar 2016)
  • CF30 Customer (7 Mar 2011 to 6 Mar 2016)
• Luke Vere Hargrave Fay

  IRN LVF01000

  • CF21 Investment Adviser (18 Sep 2003 to 9 Dec 2004)
  • CF26 Customer Trading (18 Sep 2003 to 8 Mar 2004)
• MICHAL PIOTR POZARZYCKI

  IRN MPP01065

  • [FCA CF] Client dealing (7 Mar 2016 to 29 Aug 2019)
  • CF30 Customer (7 Jun 2012 to 6 Mar 2016)
• Macdara Molloy

  IRN MXM04290

  • SMF24 Chief Operations (1 Mar 2018 to 21 Dec 2018)
• Mahendra Nagin Dass

  IRN MND01013

  • CF21 Investment Adviser (8 Oct 2002 to 5 Mar 2004)
  • CF26 Customer Trading (8 Oct 2002 to 5 Mar 2004)
• Mahnaz Akbary-Safa

  IRN MXA01193

  • SMF22 Other Local Responsibility (13 Jan 2017 to 24 Jan 2019)
• Malcolm Joseph Long

  IRN MJL01186

  • CF26 Customer Trading (1 Dec 2001 to 8 Mar 2004)
  • CF21 Investment Adviser (1 Dec 2001 to 21 Jul 2004)

No changes recorded yet.