Bank of China Limited London Branch

• Principal Place of Business

  1 Lothbury

  London

  EC2R 7DB

  UNITED KINGDOM

  Phone

  +4402072828863

  Web

  https://www.bankofchina.com/uk/

• Complaints Contact

  1 Lothbury

  London

  EC2R 7DB

  UNITED KINGDOM

  Phone

  +4402072828863

• Bank Deposits

  For All, Deposit

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), 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, 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, Spread Bet, 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, Retail (Investment), 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, 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, Spread Bet, 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, 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.

• Trade Settlement Routing

  For Eligible Counterparty, Professional, 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, Retail (Investment), 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, 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, Spread Bet, 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, Retail (Investment), Alternative Debenture, 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, 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, Spread Bet, 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 Commercial, Eligible Counterparty, Professional, Retail (Investment), 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, 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, Spread Bet, 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, 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.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, 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.

• Siu Lun Cheng

  IRN SXC00564

  • [FCA CF] Material risk taker (17 May 2021 to 6 Mar 2022)
• Siyu Yi

  IRN SXY44307

  • [FCA CF] Material risk taker (12 Oct 2018 to 31 Dec 2023)
• Sonya Khosla

  IRN SXK00715

  • [FCA CF] Material risk taker (since 9 Oct 2023)
• Sonya Rogerson

  IRN SXR44306

  • [FCA CF] Material risk taker (6 Aug 2018 to 30 Apr 2021)
• Stephen Croughan

  IRN SXC44636

  • [FCA CF] Material risk taker (17 Sep 2018 to 31 Aug 2021)
• Stephen Eric Hinds

  IRN SEH01040

  • SMF17 Money Laundering Reporting Officer (MLRO) (7 Mar 2016 to 19 Sep 2016)
  • SMF16 Compliance Oversight (7 Mar 2016 to 11 Jan 2018)
  • CF10 Compliance Oversight (1 Jan 2016 to 6 Mar 2016)
  • CF10a CASS Oversight function (23 Nov 2011 to 6 Mar 2016)
  • CF11 Money Laundering Reporting (4 Oct 2005 to 6 Mar 2016)
• Stephen Hardman

  IRN SXH44319

  • [FCA CF] Manager of certification employee (1 Oct 2020 to 6 Mar 2022)
  • [FCA CF] Material risk taker (7 Mar 2016 to 1 Apr 2025)
• Stephen Prior

  IRN SXP44316

  • [FCA CF] Material risk taker (7 Mar 2016 to 31 Mar 2024)
• Steven Braithwaite

  IRN SJB01270

  • [FCA CF] Manager of certification employee (31 Oct 2022 to 6 Jun 2023)
  • [FCA CF] Material risk taker (31 Oct 2022 to 6 Jun 2023)
• Steven Mark Haydon

  IRN SMH01096

  • CF30 Customer (9 May 2012 to 6 Mar 2016)

No changes recorded yet.