BANK OF CHINA (UK) LIMITED

• Principal Place of Business

  Bank Of China (UK) Ltd

  1 Lothbury

  London

  EC2R 7DB

  UNITED KINGDOM

  Phone

  +4402072828888

  Web

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

• Complaints Contact

  1 Lothbury

  London

  EC2R 7DB

  UNITED KINGDOM

  Phone

  +4402072828863

• Bank Deposits

  For All, Deposit

• Buy-to-Let Mortgage Admin

• Buy-to-Let Mortgage Lending

• Mortgage Servicing

  For Customer, Regulated mortgage contract

• 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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.

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

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  • · Limited to Introducing employees to an electric vehicle scheme

• 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, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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), 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, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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.

• Mortgage Lending

  For Customer, Regulated mortgage contract

• Consumer Loans

• Loan Servicing

• 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, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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.

• 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)
• Sook Cheng Au

  IRN SCA01052

  • CF30 Customer (23 Apr 2012 to 30 Jun 2014)
• Stephen Croughan

  IRN SXC44636

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

  IRN SEH01040

  • SMF3 Executive Director (7 Mar 2017 to 13 Dec 2017)
  • SMF17 Money Laundering Reporting Officer (MLRO) (7 Mar 2016 to 19 Sep 2016)
  • SMF16 Compliance Oversight (7 Mar 2016 to 11 Jan 2018)
  • CF10a CASS Oversight function (23 Nov 2011 to 6 Mar 2016)
  • CF10 Compliance Oversight (24 Sep 2007 to 6 Mar 2016)
  • Responsible for Insurance Mediation (24 Sep 2007 to 10 Mar 2016)
  • CF11 Money Laundering Reporting (24 Sep 2007 to 6 Mar 2016)
  • CF1 Director (24 Sep 2007 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 Gul

  IRN SXG44347

  • [FCA CF] Manager of certification employee (7 Mar 2016 to 2 Jan 2026)
• Stewart Trussler

  IRN SXT02095

  • SMF3 Executive Director (30 Nov 2017 to 6 May 2025)
  • SMF2 Chief Finance (7 Mar 2016 to 6 May 2025)
  • CF28 Systems and controls (14 Jan 2016 to 6 Mar 2016)
• Stuart Ball

  IRN EXB01357

  • [FCA CF] Manager of certification employee (1 Jan 2020 to 6 Mar 2022)
  • [FCA CF] Material risk taker (7 Mar 2016 to 6 Mar 2022)

No changes recorded yet.