Commonwealth Bank of Australia

• Principal Place of Business

  Commonwealth Bank Of Australia

  60 Ludgate Hill

  London

  City Of London

  EC4M 7AW

  UNITED KINGDOM

  Phone

  +4402077103999

• Complaints Contact

  Commonwealth Bank Of Australia

  60 Ludgate Hill

  London

  City Of London

  EC4M 7AW

  UNITED KINGDOM

  Phone

  +4402077103999

• Bank Deposits

  For Eligible Counterparty, Professional, Deposit

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, 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, Share, Spread Bet, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• 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, 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, Share, Spread Bet, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), 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, Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Carbon Auction Bidding

  For Eligible Counterparty, Professional, Emissions Auction Product

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), 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, Share, Spread Bet, Structured Deposits, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), 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, Share, Spread Bet, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, 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, Share, Spread Bet, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), 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, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Justin Siang-Han Chin

  IRN JXC59782

  • [FCA CF] Material risk taker (6 Jan 2020 to 2 Feb 2023)
• Kai Jia Lew

  IRN KJL01061

  • [FCA CF] Manager of certification employee (since 28 Feb 2025)
  • [FCA CF] Material risk taker (since 30 Sep 2019)
  • [FCA CF] Client dealing (since 1 Nov 2016)
• Karen Michelle Peel

  IRN KMP01056

  • CF11 Money Laundering Reporting (20 Jan 2011 to 23 Feb 2012)
  • CF10 Compliance Oversight (20 Jan 2011 to 23 Feb 2012)
• Katherine Melinda Chan

  IRN KMC01098

  • CF30 Customer (17 Feb 2014 to 6 Mar 2016)
• Keith Taylor

  IRN KXT01354

  • CF30 Customer (15 Sep 2011 to 31 Aug 2013)
• Kelvin Lee

  IRN KXL01132

  • CF26 Customer Trading (1 Dec 2001 to 11 Oct 2002)
• Ken Chung

  IRN KXC84884

  • [FCA CF] Material risk taker (9 May 2020 to 5 Sep 2022)
• Kevin Luke Atwill

  IRN KLA01008

  • CF21 Investment Adviser (1 Dec 2001 to 1 Mar 2007)
• Kieran Hennessy

  IRN KJH01054

  • CF30 Customer (1 Nov 2007 to 4 Jun 2008)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Kieran Paul Salter

  IRN KXS01291

  • SMF19 Head of Overseas Branch/Head of Overseas (since 13 May 2020)
  • SMF22 Other Local Responsibility (7 Mar 2016 to 27 Apr 2022)
  • CF29 Significant management (17 May 2012 to 6 Mar 2016)

No changes recorded yet.