DBS Bank Limited

• Principal Place of Business

  D B S Bank Ltd., London Branch

  London

  City Of London

  EC2Y 5EA

  UNITED KINGDOM

  Phone

  +4402074896550

  Web

  https://www.dbs.com

• Complaints Contact

  One London Wall

  9th Floor

  London

  EC2Y 5EA

  UNITED KINGDOM

  Phone

  +4402074896550

• Bank Deposits

  For Eligible Counterparty, Professional, Deposit

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, 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, Emissions Allowance, 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, Structured Deposits, 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, 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, Emissions Allowance, 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, Structured Deposits, 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.

• Credit Brokering

• Stockbroking

  For Eligible Counterparty, Professional, 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, Emissions Allowance, 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

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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, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Emissions Allowance, 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.

• Investment Setup

  For Eligible Counterparty, Professional, 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, Emissions Allowance, 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, Structured Deposits, 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.

• Guo Yi

  IRN GXY10180

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 1 Dec 2021)
• Het Shah

  IRN HXS00537

  • [FCA CF] Material risk taker (since 3 Feb 2025)
• Himanshu Mehrotra

  IRN HXM01263

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 1 Dec 2021)
• Hugo Conrad William Jolliffe

  IRN HCJ01009

  • SMF16 Compliance Oversight (since 24 Mar 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 24 Mar 2022)
  • SMF16 Compliance Oversight (7 Mar 2016 to 19 Sep 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (7 Mar 2016 to 19 Sep 2019)
  • CF10 Compliance Oversight (9 Feb 2016 to 6 Mar 2016)
  • CF11 Money Laundering Reporting (9 Feb 2016 to 6 Mar 2016)
• Iain Anthony Gerard Stuart

  IRN IXS00218

  • [FCA CF] Material risk taker (since 7 Mar 2016)
• Ian D'Arcy Piddock

  IRN IDP01032

  • CF28 Systems and controls (1 Nov 2007 to 1 Nov 2007)
  • CF29 Significant management (1 Nov 2007 to 1 Nov 2007)
  • CF8 Apportionment and Oversight (9 May 2007 to 31 Mar 2009)
  • CF3 Chief Executive (9 May 2007 to 25 Feb 2010)
  • CF13 Finance (5 May 2005 to 31 Oct 2007)
  • CF17 Significant Mgt (Other Business Operations) (5 May 2005 to 31 Oct 2007)
  • CF20 Significant Mgt (Settlements) (5 May 2005 to 31 Oct 2007)
• Ian David Morgan

  IRN IXM00250

  • [FCA CF] Material risk taker (since 7 Mar 2016)
• Irangani Swarna Munasinghe

  IRN ISM01047

  • CF11 Money Laundering Reporting (1 Jun 2005 to 11 Sep 2006)
• Jessie Kathleen Harrington Broome

  IRN JKH01063

  • CF11 Money Laundering Reporting (17 Jan 2013 to 22 Jul 2014)
• Jing Liang

  IRN JXL01628

  • [FCA CF] Material risk taker (since 29 Apr 2024)

No changes recorded yet.