Hua Nan Commercial Bank, Ltd

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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 Eligible Counterparty, Professional, 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, 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), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract, Spread Bet
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- · The firm, in carrying out this regulated activity, is limited to entering into transactions in a manner which, if the firm was an unauthorised person, would come within article 16 of the RAO.
- · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

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

Anthony George Williams
IRN AGW01071
- CF11 Money Laundering Reporting (1 Dec 2001 to 30 Oct 2009)
Chi-Ming Huang
IRN CXH01427
- CF3 Chief Executive (30 Oct 2003 to 30 Oct 2003)
- CF8 Apportionment and Oversight (1 Aug 2003 to 30 Oct 2005)
- CF14 Risk Assessment (1 Aug 2003 to 30 Oct 2005)
- CF13 Finance (1 Aug 2003 to 30 Oct 2005)
Chih-Hao Lien
IRN CXL00447
- SMF19 Head of Overseas Branch/Head of Overseas (since 23 Jan 2024)
Chun-Chieh Huang
IRN CXH01777
- SMF19 Head of Overseas Branch/Head of Overseas (7 Mar 2016 to 31 May 2018)
- CF3 Chief Executive (6 Mar 2012 to 6 Mar 2016)
Jeffrey Hock Lye Cheah
IRN JHC01074
- SMF17 Money Laundering Reporting Officer (MLRO) (since 18 Jul 2016)
- SMF16 Compliance Oversight (since 18 Jul 2016)
King-Huo Lu
IRN KXL01220
- CF3 Chief Executive (16 Aug 2005 to 9 Mar 2012)
- CF8 Apportionment and Oversight (16 Aug 2005 to 31 Mar 2009)
Neng Tung Lin
IRN NTL01006
- CF8 Apportionment and Oversight (1 Dec 2001 to 20 Aug 2003)
- CF3 Chief Executive (1 Dec 2001 to 12 Nov 2003)
Paul Marshall Fickling
IRN PMF01049
- CF11 Money Laundering Reporting (12 Mar 2010 to 15 Sep 2015)
Yi-Hsin Huang
IRN YXH01213
- SMF19 Head of Overseas Branch/Head of Overseas (30 Mar 2018 to 1 Dec 2023)
Yun-Peng Chang
IRN YXC01039
- CF1 Director (18 Dec 2009 to 30 Jun 2015)

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.