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.

  • Roscow Lucas

    IRN RXL01151

    • CF26 Customer Trading (1 Dec 2001 to 30 Nov 2003)
    • CF21 Investment Adviser (1 Dec 2001 to 30 Nov 2003)
  • Roy John Beddows

    IRN RJB01293

    • CF21 Investment Adviser (30 Jan 2002 to 24 Jul 2002)
  • Russell Tucker

    IRN RXT01352

    • CF28 Systems and controls (1 Nov 2007 to 14 Nov 2007)
    • CF14 Risk Assessment (5 Sep 2006 to 31 Oct 2007)
  • Sahan Devadithya De Silva

    IRN SDD01046

    • CF30 Customer (25 Nov 2013 to 8 May 2014)
  • Samuel Edward McCarthy

    IRN SEM01118

    • CF30 Customer (7 Jul 2014 to 6 Mar 2016)
  • Samuel James Turner

    IRN SXT01429

    • CF30 Customer (1 Nov 2007 to 30 Nov 2007)
    • CF21 Investment Adviser (12 Jan 2006 to 31 Oct 2007)
  • Sara Sullivan

    IRN SLS01036

    • CF21 Investment Adviser (9 May 2002 to 24 Jan 2006)
    • CF26 Customer Trading (9 May 2002 to 8 Mar 2004)
  • Sarah Anne Wylie

    IRN SAW01129

    • CF21 Investment Adviser (12 Jan 2002 to 23 Feb 2004)
  • Sarah Turnbull

    IRN SXT00741

    • SMF16 Compliance Oversight (since 11 Sep 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 11 Sep 2025)
    • SMF4 Chief Risk (since 10 Apr 2025)
  • Scott Briggs

    IRN SXB02436

    • CF30 Customer (1 Sep 2010 to 28 May 2012)
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Recent activity

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

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