Bank of America Europe DAC

• Principal Place of Business

  2 King Edward Street

  London

  City Of London

  EC1A 1HQ

  UNITED KINGDOM

  Phone

  +4402076281000

  Web

  https://business.bofa.com/uk/en/about-us.html

• Complaints Contact

  Bank of America

  2 King Edward Street

  London

  EC1A 1HQ

  UNITED KINGDOM

  Phone

  +4402076281000

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, 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 Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, 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, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Simeon Stevens

  IRN SRS01060

  • [FCA CF] Significant management (1 Nov 2023 to 5 Feb 2025)
• Simon Cahill

  IRN SXC00749

  • [FCA CF] Manager of certification employee (since 1 Nov 2023)
  • [FCA CF] Material risk taker (1 Nov 2023 to 4 Oct 2024)
• Simon Gleeson

  IRN SXG00130

  • [FCA CF] Material risk taker (1 Nov 2023 to 4 Oct 2024)
• Simon Quartermain

  IRN SXQ00048

  • [FCA CF] Algorithmic trading (1 Nov 2023 to 4 Feb 2026)
• Soumyajit Panigrahy

  IRN SXP62668

  • [FCA CF] Client dealing (since 15 Jul 2025)
• Stefan Martin Auerweck

  IRN SMA01105

  • [FCA CF] Manager of certification employee (1 Nov 2023 to 23 Jan 2024)
  • [FCA CF] Material risk taker (1 Nov 2023 to 23 Jan 2024)
  • [FCA CF] Client dealing (1 Nov 2023 to 23 Jan 2024)
• Stelios Walker

  IRN SXW01652

  • [FCA CF] Client dealing (since 1 Nov 2023)
• Stephane Girod

  IRN SJG01157

  • [FCA CF] Client dealing (since 1 Nov 2023)
• Stephen Finbarr O'Hurley

  IRN SXO00259

  • [FCA CF] Client dealing (6 Sep 2024 to 27 Mar 2026)
• Stephen Flanagan

  IRN SXF00072

  • [FCA CF] Client dealing (since 1 Nov 2023)
  • [FCA CF] Material risk taker (1 Nov 2023 to 2 Oct 2024)

No changes recorded yet.