National Australia Bank Limited

• Principal Place of Business

  National Australia Bank Ltd

  52 Lime Street

  London

  City Of London

  EC3M 7AF

  UNITED KINGDOM

  Phone

  +4407760752926

  Web

  https://www.nab.com.au

• Complaints Contact

  National Australia Bank Ltd

  52 Lime Street

  London

  City Of London

  EC3M 7AF

  UNITED KINGDOM

  Phone

  +447760752926

• Bank Deposits

  For All, Deposit

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• Investment Advice (no pensions)

  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, 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

  Show 2 limitations 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.
  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "share", "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  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, Future (excluding a commodity future and a rolling spot forex contract), 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

  Show 2 limitations 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.
  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "share", "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• 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, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• 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, 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, Spread Bet, Structured Deposits, 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.

• 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, 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, Spread Bet, 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.

• Investment Setup

  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, 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

  Show 2 limitations 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.
  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "share", "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Debenture, Government and public security, Rights to or interests in investments (Security), Structured Deposits

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" 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, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• David Robert Beale

  IRN DRB00088

  • CF11 Money Laundering Reporting (27 Feb 2003 to 28 Feb 2006)
  • CF10 Compliance Oversight (27 Feb 2003 to 28 Feb 2006)
• David Vaughan Walton

  IRN DVW01006

  • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2003)
  • CF26 Customer Trading (1 Dec 2001 to 31 Dec 2003)
• David William Bateman

  IRN DWB01098

  • SMF22 Other Local Responsibility (since 8 Feb 2021)
  • SMF22 Other Local Responsibility (18 Aug 2016 to 7 Sep 2017)
  • [FCA CF] Material risk taker (7 Mar 2016 to 8 Feb 2021)
  • [FCA CF] Manager of certification employee (7 Mar 2016 to 8 Feb 2021)
  • [FCA CF] Client dealing (7 Mar 2016 to 8 Feb 2021)
  • [FCA CF] Significant management (7 Mar 2016 to 8 Feb 2021)
  • CF30 Customer (5 Jul 2010 to 6 Mar 2016)
• David William Bryan

  IRN DWB01066

  • CF26 Customer Trading (1 Dec 2001 to 14 Sep 2005)
  • CF21 Investment Adviser (1 Dec 2001 to 14 Sep 2005)
• David William Giovanelli

  IRN DWG01047

  • CF21 Investment Adviser (23 Jun 2006 to 30 Apr 2007)
  • CF26 Customer Trading (23 Jun 2006 to 30 Apr 2007)
• David William Warren

  IRN DWW01045

  • CF30 Customer (12 Jun 2013 to 16 Apr 2015)
• Debra Ngere Ross

  IRN DNR01027

  • [FCA CF] Client dealing (21 Oct 2019 to 21 May 2021)
  • [FCA CF] Manager of certification employee (21 Oct 2019 to 21 May 2021)
• Declan James Channon McManus

  IRN DJM01323

  • CF21 Investment Adviser (1 Dec 2001 to 8 Feb 2002)
  • CF26 Customer Trading (1 Dec 2001 to 28 Feb 2002)
• Deepak Singh Banwait

  IRN DXB00188

  • [FCA CF] Client dealing (1 Dec 2020 to 9 Feb 2023)
  • [FCA CF] Algorithmic trading (1 Dec 2020 to 9 Feb 2023)
• Dikele Diawara

  IRN DXD01621

  • CF30 Customer (3 Feb 2014 to 6 Mar 2016)

No changes recorded yet.