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.

• WILLIAM TREMBATH

  IRN WXT33341

  • SMF22 Other Local Responsibility (since 8 Mar 2023)
  • [FCA CF] Manager of certification employee (15 Dec 2022 to 15 Mar 2023)
  • [FCA CF] Material risk taker (15 Dec 2022 to 15 Mar 2023)
  • [FCA CF] Significant management (2 Dec 2021 to 15 Mar 2023)
  • [FCA CF] Client dealing (25 Jun 2018 to 2 Dec 2021)
• Ward Ian Simondson

  IRN WIS01001

  • CF21 Investment Adviser (1 Dec 2001 to 11 Feb 2005)
• William Edward Martin

  IRN WEM01015

  • [FCA CF] Material risk taker (15 Dec 2022 to 11 Aug 2023)
  • [FCA CF] Manager of certification employee (1 Feb 2020 to 31 Jan 2023)
  • [FCA CF] Client dealing (24 Jul 2019 to 30 Sep 2023)
• William Michael Jon Newton

  IRN WMN00007

  • SMF16 Compliance Oversight (since 15 Jan 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (11 Aug 2017 to 27 Aug 2025)
• XINYU RU

  IRN XXR33365

  • [FCA CF] Material risk taker (1 Oct 2018 to 21 Jul 2020)
  • [FCA CF] Client dealing (5 Oct 2017 to 21 Jul 2020)
  • [FCA CF] Proprietary trader (5 Oct 2017 to 21 Jul 2020)
• Zak Robson

  IRN ZXR00046

  • [FCA CF] Client dealing (since 16 Sep 2025)
• Zenobia Pereira

  IRN ZXP01017

  • CF30 Customer (10 Aug 2011 to 16 Apr 2012)
• sarah rothero thorpe

  IRN SRT01100

  • SMF22 Other Local Responsibility (12 May 2016 to 12 May 2016)

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