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.

  • Andreas Yiannis

    IRN AXY01026

    • CF21 Investment Adviser (9 Oct 2002 to 5 Mar 2004)
    • CF26 Customer Trading (9 Oct 2002 to 5 Mar 2004)
  • Andrew Cameron Lochrie

    IRN ACL01066

    • CF30 Customer (26 Jan 2015 to 6 Mar 2016)
  • Andrew Charles Roper

    IRN AXR01439

    • CF30 Customer (1 Nov 2007 to 9 Jan 2009)
    • CF21 Investment Adviser (23 May 2007 to 31 Oct 2007)
  • Andrew Heathwood

    IRN AXH02895

    • SMF16 Compliance Oversight (7 Mar 2016 to 15 Nov 2017)
    • SMF17 Money Laundering Reporting Officer (MLRO) (7 Mar 2016 to 15 Nov 2017)
    • CF11 Money Laundering Reporting (18 Jan 2016 to 6 Mar 2016)
    • CF10 Compliance Oversight (18 Jan 2016 to 6 Mar 2016)
  • Andrew Ian Herbert

    IRN AIH01025

    • SMF5 Head of Internal Audit (7 Mar 2016 to 26 Jul 2019)
    • CF28 Systems and controls (27 Aug 2015 to 6 Mar 2016)
  • Andrew James McManus

    IRN AJM01747

    • [FCA CF] Client dealing (since 7 Mar 2016)
    • CF30 Customer (8 May 2015 to 6 Mar 2016)
  • Andrew John Bowen

    IRN AJB01484

    • SMF22 Other Local Responsibility (7 Mar 2016 to 31 Dec 2016)
    • CF3 Chief Executive (22 Apr 2014 to 9 Sep 2014)
    • CF1 Director (22 Apr 2014 to 9 Sep 2014)
    • CF29 Significant management (30 Jun 2011 to 6 Mar 2016)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (9 Jul 2004 to 31 Oct 2007)
  • Andrew John Hume

    IRN AJH01405

    • [FCA CF] Client dealing (7 Mar 2016 to 30 Sep 2025)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (27 Jul 2004 to 31 Oct 2007)
  • Andrew John Philip Hopson

    IRN AJH01510

    • [FCA CF] Client dealing (18 Nov 2019 to 31 Jan 2022)
  • Andrew Lindsay Smith

    IRN ALS01129

    • [FCA CF] Client dealing (since 8 Jul 2024)
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Recent activity

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

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