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

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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 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

  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.

• 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

  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 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

  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, 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

  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 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

  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.

• 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

  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.

• Ryan Matthew Gavin

  IRN RMG01120

  • CF30 Customer (1 Nov 2007 to 31 Jan 2011)
  • CF21 Investment Adviser (17 Oct 2007 to 31 Oct 2007)
• SCOTT ROBERTSON

  IRN SXR33376

  • [FCA CF] Client dealing (25 Apr 2016 to 24 Apr 2019)
• SOPHIE JOHNSTON

  IRN SXJ33354

  • [PRA CF] Managing a material risk taker (1 Oct 2018 to 30 Jun 2021)
  • [FCA CF] Material risk taker (12 Aug 2016 to 30 Jun 2021)
  • [FCA CF] Proprietary trader (7 Mar 2016 to 30 Jun 2021)
  • [FCA CF] Client dealing (7 Mar 2016 to 30 Jun 2021)
  • [FCA CF] Manager of certification employee (7 Mar 2016 to 30 Jun 2021)
• STUART BARTON

  IRN SXB33345

  • [FCA CF] Client dealing (since 7 Feb 2020)
• STUART STEVENSON

  IRN SJS01172

  • [FCA CF] Client dealing (7 Mar 2016 to 29 Mar 2024)
  • CF30 Customer (25 Feb 2014 to 6 Mar 2016)
• Saad M'jabber

  IRN SXM33743

  • [FCA CF] Client dealing (7 Jul 2020 to 4 Mar 2022)
• Samuel Angus McQuilkin

  IRN SAM01347

  • CF30 Customer (18 Feb 2013 to 6 Mar 2016)
• Samuel Richard Twigg

  IRN SRT01072

  • CF30 Customer (1 Nov 2007 to 14 Aug 2009)
  • CF21 Investment Adviser (13 Jul 2007 to 31 Oct 2007)
• Sandford Samuel MacFarlane

  IRN SSM01031

  • CF21 Investment Adviser (10 Dec 2004 to 15 Sep 2006)
• Sarah Heavey

  IRN SXH77789

  • [FCA CF] Manager of certification employee (since 6 Nov 2024)
  • [FCA CF] Client dealing (since 6 Nov 2024)

No changes recorded yet.