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.

• Richard Brownlow Horrocks

  IRN RBH01053

  • CF30 Customer (24 Feb 2009 to 11 Aug 2010)
• Richard Cavell

  IRN RJC01230

  • CF30 Customer (1 Nov 2007 to 30 Jun 2010)
  • CF26 Customer Trading (13 Mar 2003 to 31 Oct 2007)
  • CF21 Investment Adviser (13 Mar 2003 to 31 Oct 2007)
• Richard Daniel Mayers

  IRN RXM01858

  • CF30 Customer (1 Nov 2007 to 18 Feb 2009)
  • CF23 Corporate Finance Adviser (24 Oct 2006 to 31 Oct 2007)
• Richard Edward Head

  IRN REH01085

  • CF21 Investment Adviser (10 Mar 2003 to 11 Oct 2004)
  • CF26 Customer Trading (10 Mar 2003 to 11 Oct 2004)
• Richard Frederick George Smith

  IRN RFS01044

  • CF23 Corporate Finance Adviser (19 Jul 2005 to 21 Jun 2006)
• Richard George Clerihew Woodhouse

  IRN RGW01037

  • CF23 Corporate Finance Adviser (1 Dec 2001 to 11 Jun 2005)
• Richard James Sawers

  IRN RJS01453

  • CF1 Director (7 Jan 2010 to 1 Aug 2014)
• Richard John Moore

  IRN RJM01294

  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF26 Customer Trading (4 Oct 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (17 Dec 2002 to 2 Sep 2005)
• Richard Lockhart Gibson

  IRN RLG01060

  • [FCA CF] Client dealing (since 7 Mar 2016)
  • [FCA CF] Manager of certification employee (30 Apr 2023 to 30 Apr 2025)
  • [FCA CF] Material risk taker (7 Mar 2016 to 30 Apr 2025)
  • CF30 Customer (22 Aug 2014 to 6 Mar 2016)
• Richard Michael David Golding

  IRN RMG01054

  • CF30 Customer (1 Nov 2007 to 27 Feb 2015)
  • CF29 Significant management (1 Nov 2007 to 27 Feb 2015)
  • CF16 Significant Mgt (Desgntd Investment Business) (20 Dec 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)

No changes recorded yet.