Haitong Bank, S.A.

• Principal Place of Business

  8 Finsbury Circus

  London

  EC2M 7EA

  UNITED KINGDOM

  Phone

  +442074569191

  Web

  https://www.haitongib.com

• Complaints Contact

  8 Finsbury Circus

  London

  EC2M 7EA

  UNITED KINGDOM

  Phone

  +4402074569191

• Investment Advice (no pensions)

  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, 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 (Security), 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, Certificates representing certain security, 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 (Security), 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.

• Stockbroking

  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, 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 (Security), 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, Certificates representing certain security, 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 (Security), 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, Certificates representing certain security, 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 (Security), Share, 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.

• António Oliveira

  IRN AXO00059

  • [FCA CF] Client dealing (9 Dec 2020 to 19 Jun 2025)
• Harry Tevis Minshull Stockdale

  IRN HTS01012

  • [FCA CF] Manager of certification employee (9 Dec 2020 to 30 Sep 2023)
  • [FCA CF] Client dealing (9 Dec 2020 to 30 Sep 2023)
• Jeremy Barfour-Awuah

  IRN JXB01013

  • SMF17 Money Laundering Reporting Officer (MLRO) (1 Mar 2023 to 19 Jul 2024)
  • SMF16 Compliance Oversight (1 Mar 2023 to 19 Jul 2024)
• Nuno Carvalho

  IRN NXC00265

  • SMF3 Executive Director (since 1 Mar 2023)
• Syed Arafat Hussain Shah

  IRN SAS01323

  • SMF16 Compliance Oversight (since 7 Jan 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 7 Jan 2025)
• Xin Jie

  IRN XXJ00001

  • SMF19 Head of Overseas Branch/Head of Overseas (since 1 Mar 2023)
• Xuan Luo

  IRN XXL00028

  • [FCA CF] Material risk taker (since 1 Dec 2025)
  • [FCA CF] Client dealing (since 1 Jun 2023)
  • [FCA CF] Manager of certification employee (since 1 Jun 2023)
• Zhuoer Jiang

  IRN ZXJ00019

  • [FCA CF] Client dealing (since 1 Jul 2023)

No changes recorded yet.