Westpac Banking Corporation

• Principal Place of Business

  Westpac Banking Corporation

  2 Gresham Street

  London

  EC2V 7AD

  UNITED KINGDOM

  Phone

  +4402076217000

• Complaints Contact

  Westpac Banking Corporation

  2 Gresham Street

  London

  EC2V 7AD

  UNITED KINGDOM

  Phone

  +4402076217000

• Bank Deposits

  For All, Deposit

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  • · Limited to accepting wholesale customer deposits.

• P2P Lending Advice

  For Commercial, Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Commercial, 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, 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 Commercial, 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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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, Certificates representing certain security, Debenture, Emissions Allowance, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Stockbroking

  For Commercial, 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, 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.

• Trades With You Directly

  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, 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 Commercial, 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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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, Certificates representing certain security, Debenture, Emissions Allowance, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Graham Hutchins

  IRN GDH01080

  • [FCA CF] Client dealing (since 7 Jun 2022)
• HEMAL SHAH

  IRN HXS33533

  • [FCA CF] Client dealing (1 Feb 2019 to 25 May 2023)
• HUY Le

  IRN HXL01174

  • [FCA CF] Client dealing (27 Feb 2018 to 30 Jun 2025)
• Hugh David Malcolm

  IRN HDM01028

  • CF29 Significant management (1 Nov 2007 to 18 Dec 2007)
  • CF30 Customer (1 Nov 2007 to 9 Apr 2009)
  • CF21 Investment Adviser (6 Dec 2006 to 31 Oct 2007)
  • CF16 Significant Mgt (Desgntd Investment Business) (16 Oct 2006 to 31 Oct 2007)
• Hugh William Hudson Killen

  IRN HWK01002

  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (17 Jan 2005 to 31 Oct 2007)
• Ian James Stewart

  IRN IJS01015

  • SMF22 Other Local Responsibility (7 Mar 2016 to 31 Dec 2018)
  • CF29 Significant management (1 Nov 2011 to 6 Mar 2016)
  • CF30 Customer (18 Mar 2009 to 6 Mar 2016)
  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 31 Aug 2002)
• Ian O'Flaherty

  IRN IXO01014

  • [FCA CF] Manager of certification employee (10 Feb 2020 to 13 Nov 2020)
  • [FCA CF] Client dealing (1 Jul 2019 to 13 Nov 2020)
• Ignacio Cortes

  IRN IXC01089

  • [FCA CF] Manager of certification employee (13 Feb 2019 to 14 Jul 2021)
  • [FCA CF] Client dealing (7 Mar 2016 to 14 Jul 2021)
  • CF30 Customer (4 Mar 2011 to 6 Mar 2016)
• Isabella Holtze-Petersen

  IRN ISH33721

  • [FCA CF] Client dealing (since 4 May 2021)
• JAYANAKA WIJERATNE

  IRN JRW01277

  • [FCA CF] Client dealing (7 Mar 2016 to 19 Apr 2024)
  • CF30 Customer (1 Jul 2014 to 6 Mar 2016)

No changes recorded yet.