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.

• MICHAEL FLANAGAN

  IRN MXF01588

  • CF30 Customer (1 Dec 2010 to 12 Jan 2015)
• Malachi Cullen

  IRN MXC01421

  • CF30 Customer (1 Nov 2007 to 21 Nov 2011)
  • CF21 Investment Adviser (1 Nov 2005 to 31 Oct 2007)
  • CF26 Customer Trading (1 Nov 2005 to 31 Oct 2007)
• Malcolm Cotton

  IRN MXC01311

  • CF30 Customer (1 Nov 2007 to 16 May 2013)
  • CF21 Investment Adviser (30 Apr 2003 to 31 Oct 2007)
  • CF26 Customer Trading (30 Apr 2003 to 31 Oct 2007)
• Malcolm Jason Cox

  IRN MJC01521

  • [FCA CF] Manager of certification employee (since 9 May 2022)
  • [FCA CF] Client dealing (since 7 Mar 2016)
  • [FCA CF] Material risk taker (7 Mar 2016 to 30 Apr 2025)
• Marc Steven Davies

  IRN MSD01042

  • CF30 Customer (1 Nov 2007 to 1 Nov 2007)
  • CF26 Customer Trading (30 Apr 2003 to 31 Oct 2007)
  • CF21 Investment Adviser (12 Dec 2001 to 31 Oct 2007)
• Marcus Bryan Ashworth

  IRN MBA01012

  • CF26 Customer Trading (2 Dec 2001 to 9 Aug 2002)
  • CF21 Investment Adviser (1 Dec 2001 to 9 Aug 2002)
• Marcus Eastwell

  IRN MXE01090

  • [FCA CF] Proprietary trader (16 Nov 2022 to 31 Dec 2023)
  • [FCA CF] Material risk taker (7 Mar 2016 to 31 Dec 2023)
  • [FCA CF] Client dealing (7 Mar 2016 to 16 Nov 2022)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (23 Oct 2003 to 31 Oct 2007)
• Marcus James Wilcock

  IRN MJW01282

  • [FCA CF] Manager of certification employee (9 May 2022 to 14 Sep 2025)
  • [FCA CF] Material risk taker (7 Mar 2016 to 14 Sep 2025)
  • [FCA CF] Client dealing (7 Mar 2016 to 14 Sep 2025)
  • CF30 Customer (2 Aug 2010 to 6 Mar 2016)
• Margaret Mary Butler

  IRN MMB01049

  • CF20 Significant Mgt (Settlements) (31 Dec 2003 to 31 Dec 2003)
  • CF16 Significant Mgt (Desgntd Investment Business) (31 Dec 2003 to 31 Dec 2003)
• Marie-Louise Carrick

  IRN MXC01441

  • CF30 Customer (1 Nov 2007 to 11 Mar 2013)
  • CF21 Investment Adviser (12 Aug 2003 to 31 Oct 2007)
  • CF26 Customer Trading (12 Aug 2003 to 31 Oct 2007)

No changes recorded yet.