Under Australian licensing requirements, the provision of financial services to Australian entities generally requires a financial service provider to hold an Australian Financial Services License (AFSL), unless an exemption is granted by the Australian Securities and Investments Commission (ASIC). If you, or any client(s) you act for, are domiciled in Australia, you are notified that NatWest Markets plc and NatWest Markets Securities Inc. are exempt from the requirement to hold an AFSL under the Corporations Act 2001 of Australia, in respect of the financial service(s) they provide to you and are regulated as follows:
NatWest Markets Plc is authorised by the Prudential Regulation Authority (”PRA“) and regulated by the Financial Conduct Authority and the PRA under the laws of United Kingdom, which differ from Australian laws.
NatWest Markets Securities Inc. is a FINRA registered broker-dealer (http://www.finra.org), a SIPC member (www.sipc.org) and a wholly owned indirect subsidiary of NatWest Markets Plc.
In Hong Kong, NatWest Markets Plc and NatWest Markets N.V. are authorised and regulated by the Hong Kong Monetary Authority and the Hong Kong Securities and Futures Commission.
In India, NatWest Markets Plc, India is regulated by Reserve Bank of India (RBI) and has been granted a licence to carry on banking business in India under licence no. MUM:103 dated February 14, 2014.
In Japan, NatWest Markets Securities Japan Limited [Kanto Financial Bureau (Kin-sho) No. 202] is authorised and regulated by the Japan Financial Services Agency.
NatWest Markets Plc, Singapore branch [UEN: S85FC3595J] is authorised and regulated by the Monetary Authority of Singapore.