Bank of Taiwan

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Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

Bank Deposits

For All, Deposit
Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
Trades With You Directly

For Eligible Counterparty, Professional, Certificates representing certain security, 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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), 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.

Senior staff personally approved by the FCA to hold their roles here.

Chie-Shen Tsao
IRN CXT01637
- SMF19 Head of Overseas Branch/Head of Overseas (5 Jan 2018 to 17 Jan 2025)
Chih-Wen Hsu
IRN CXH01822
- CF1 Director (27 Nov 2013 to 1 Feb 2016)
Fu-San Chiang
IRN FXC01145
- CF3 Chief Executive (24 Jun 2004 to 31 Aug 2006)
- CF8 Apportionment and Oversight (24 Jun 2004 to 31 Aug 2006)
Jeng-Shiann Lee
IRN JXL01911
- CF10 Compliance Oversight (1 Jun 2013 to 23 Jan 2015)
- CF11 Money Laundering Reporting (1 Jun 2013 to 23 Jan 2015)
Kai-Cheng Ho
IRN KXH01507
- CF1 Director (31 Mar 2010 to 4 Sep 2013)
Kang-Chin Wu
IRN KXW01271
- CF10 Compliance Oversight (24 Jun 2004 to 14 Apr 2008)
- CF11 Money Laundering Reporting (24 Jun 2004 to 14 Apr 2008)
Ke Hua
IRN KXH01532
- CF3 Chief Executive (22 Aug 2011 to 2 Mar 2016)
- CF11 Money Laundering Reporting (9 Mar 2011 to 7 Jun 2013)
- CF10 Compliance Oversight (9 Mar 2011 to 7 Jun 2013)
Li-Yen Yang
IRN LXY01027
- CF1 Director (31 Mar 2010 to 4 Jul 2012)
Lynn Huoh
IRN LXH01575
- SMF17 Money Laundering Reporting Officer (MLRO) (7 Mar 2016 to 20 Jan 2017)
- SMF16 Compliance Oversight (7 Mar 2016 to 2 Dec 2016)
- CF10 Compliance Oversight (13 Oct 2015 to 6 Mar 2016)
- CF11 Money Laundering Reporting (13 Oct 2015 to 6 Mar 2016)
Peter James Roughneen
IRN PJR01141
- SMF17 Money Laundering Reporting Officer (MLRO) (since 18 Jan 2017)
- SMF16 Compliance Oversight (since 2 Dec 2016)

Updates to this firm's record on the FCA register.

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.