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.

• Andrew William Bentham Morris

  IRN AWM01084

  • CF3 Chief Executive (24 Oct 2002 to 31 Mar 2006)
  • CF8 Apportionment and Oversight (24 Oct 2002 to 31 Mar 2006)
• Angela Jane Marie Feeney

  IRN AJF01103

  • CF21 Investment Adviser (21 Dec 2001 to 12 Apr 2006)
• Anthony David Velevitch

  IRN ADV01015

  • SMF4 Chief Risk (since 21 Jul 2020)
• Anthony Edward Brown

  IRN AEB01068

  • CF30 Customer (14 Jul 2010 to 28 Oct 2011)
• Anthony Gerard Reginald Matthews

  IRN AGM01125

  • CF30 Customer (1 Nov 2007 to 14 Jun 2010)
  • CF21 Investment Adviser (29 Sep 2006 to 31 Oct 2007)
  • CF16 Significant Mgt (Desgntd Investment Business) (30 Dec 2005 to 17 Oct 2006)
• Anthony John McClarty

  IRN AJM01235

  • CF10 Compliance Oversight (1 Dec 2001 to 31 Mar 2002)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 31 Mar 2002)
• Anthony Miles Reilly

  IRN AMR01067

  • CF21 Investment Adviser (1 Dec 2001 to 9 Feb 2007)
• Anthony Stephen Masciantonio

  IRN AXM01655

  • CF1 Director (15 Mar 2012 to 6 Mar 2016)
• Anthony Thomas Kritikides

  IRN ATK01010

  • CF21 Investment Adviser (1 Dec 2001 to 15 Aug 2002)
• Anton Ra'Ouf Aziz

  IRN ARA01084

  • SMF16 Compliance Oversight (7 Mar 2016 to 8 Jul 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (7 Mar 2016 to 11 Aug 2017)
  • CF11 Money Laundering Reporting (25 May 2010 to 6 Mar 2016)
  • CF10 Compliance Oversight (25 May 2010 to 6 Mar 2016)

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