Standard Chartered Bank

Date authorised
1 April 2013
Companies House
ZC000018
Last scraped
5 days ago

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    1 Basinghall Avenue
    London
    EC2V 5DD
    UNITED KINGDOM
    Phone
    +4402078858888
    Web
    https://www.sc.com

  • Complaints Contact

    1 Basinghall Avenue
    London
    EC2V 5DD
    UNITED KINGDOM
    Phone
    +4402078858888

What this firm is allowed to do

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

  • Bank Deposits

    For All, Deposit

  • Mortgage Servicing

    For Customer, Regulated mortgage contract

  • P2P Lending Advice

    For Retail (Investment), Professional, Eligible Counterparty, Retail (Non-Investment Insurance), Commercial

  • Investment Advice (no pensions)

    For Retail (Investment), Professional, Eligible Counterparty, Retail (Non-Investment Insurance), Commercial, Structured Deposits, Binary Bet, Emissions Allowance, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Rights to or interests in investments (Contractually Based Investments), Non-investment insurance contracts, Personal pension scheme, Alternative Debenture

    Show 3 limitations
    • · When dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
    • · When dealing with retail clients, the firm may not carry out the investment activity in relation to Emissions Allowance.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Retail (Investment), Professional, Eligible Counterparty, Retail (Non-Investment Insurance), Commercial, Structured Deposits, Binary Bet, Emissions Allowance, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Rights to or interests in investments (Contractually Based Investments), Non-investment insurance contracts, Personal pension scheme, Alternative Debenture

    Show 3 limitations
    • · When dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
    • · When dealing with retail clients, the firm may not carry out the investment activity in relation to Emissions Allowances.
    • · 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.

  • Arranges Asset Safekeeping

    For Retail (Investment), Professional, Eligible Counterparty, Binary Bet, Emissions Allowance, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Rights to or interests in investments (Contractually Based Investments), Personal pension scheme, Alternative Debenture

    Show 3 limitations
    • · When dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
    • · When dealing with retail clients, the firm may not carry out the investment activity in relation to Emissions Allowances.
    • · 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.

  • Carbon Auction Bidding

    For Professional, Eligible Counterparty, Emissions Auction Product

    Show 1 limitation
    • · When dealing with retail clients, the firm may not carry out the investment activity in relation to Emissions Bidding.

  • Trade Settlement Routing

    For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Alternative Debenture

    Show 2 limitations
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · This activity may only be carried on as a cross-border service, or through branches, in those EEA member states where the firm has exercised passporting rights which have been agreed and notified under the EU Banking Consolidation Directive, in respect of the Annex Activities listed in the said notifications.

  • Stockbroking

    For Retail (Investment), Professional, Eligible Counterparty, Structured Deposits, Binary Bet, Emissions Allowance, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Rights to or interests in investments (Contractually Based Investments), Personal pension scheme, Alternative Debenture

    Show 3 limitations
    • · When dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
    • · When dealing with retail clients, the firm may not carry out the investment activity in relation to Emissions Allowances.
    • · 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 Retail (Investment), Professional, Eligible Counterparty, Binary Bet, Emissions Allowance, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Rights to or interests in investments (Contractually Based Investments), Personal pension scheme, Alternative Debenture

    Show 3 limitations
    • · When dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
    • · When dealing with retail clients, the firm may not carry out the investment activity in relation to Emissions Allowances.
    • · Limited to underwriting on own account and to participation in placings on own account and in carrying on such activities to the specified investment "shares".

  • Mortgage Lending

    For Customer, Regulated mortgage contract

  • Consumer Loans

  • Loan Servicing

  • Investment Setup

    For Retail (Investment), Professional, Eligible Counterparty, Retail (Non-Investment Insurance), Commercial, Structured Deposits, Binary Bet, Emissions Allowance, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Rights to or interests in investments (Contractually Based Investments), Non-investment insurance contracts, Personal pension scheme, Alternative Debenture

    Show 3 limitations
    • · When dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
    • · When dealing with retail clients, the firm may not carry out the investment activity in relation to Emissions Allowances.
    • · 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.

  • Manages Your Portfolio

    For Retail (Investment), Professional, Eligible Counterparty, Structured Deposits, Binary Bet, Emissions Allowance, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Rights to or interests in investments (Contractually Based Investments), Personal pension scheme, Alternative Debenture

    Show 3 limitations
    • · When dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
    • · When dealing with retail clients, the firm may not carry out the investment activity in relation to Emissions Allowances.
    • · 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.

  • Holds Your Assets

    For Retail (Investment), Professional, Eligible Counterparty, Binary Bet, Emissions Allowance, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Rights to or interests in investments (Contractually Based Investments), Personal pension scheme, Alternative Debenture

    Show 3 limitations
    • · When dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
    • · When dealing with retail clients, the firm may not carry out the investment activity in relation to Emissions Allowances.
    • · 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.

  • Electronic Trade Settlement

    For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Alternative Debenture

    Show 2 limitations
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · This activity may only be carried on as a cross-border service, or through branches, in those EEA member states where the firm has exercised passporting rights which have been agreed and notified under the EU Banking Consolidation Directive, in respect of the Annex Activities listed in the said notifications.

Approved individuals

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

  • John Henry Goodfellow

    IRN JHG01028

    • (113)CF30 Customer (1 Nov 2007 to 15 Apr 2009)
    • (114)CF21 Investment Adviser (29 Dec 2006 to 31 Oct 2007)
  • John Hoque

    IRN JXH35953

    • (4020)[FCA CF] Material risk taker (17 Jan 2022 to 2 Dec 2025)
    • (4019)[PRA CF] Significant risk taker or Material risk taker (17 Jan 2022 to 2 Dec 2025)
  • John Howard Lorimer

    IRN JHL01028

    • (410)CF28 Systems and controls (1 Nov 2007 to 1 Jan 2009)
    • (411)CF14 Risk Assessment (1 Sep 2006 to 31 Oct 2007)
    • (412)CF13 Finance (1 Sep 2004 to 1 Sep 2006)
  • John Joseph

    IRN JXJ00025

    • (4348)[FCA CF] Material risk taker (15 Jul 2019 to 9 Mar 2021)
    • (4347)[PRA CF] Significant risk taker or Material risk taker (15 Jul 2019 to 9 Mar 2021)
  • John Kai Chi Thang

    IRN JXT00051

    • (1905)[FCA CF] Material risk taker (since 5 Oct 2023)
    • (1904)[PRA CF] Significant risk taker or Material risk taker (since 5 Oct 2023)
    • (4394)[FCA CF] Significant management (25 Sep 2024 to 6 Mar 2025)
    • (4393)[FCA CF] Manager of certification employee (16 Jul 2019 to 10 Jun 2021)
    • (4391)[PRA CF] Significant risk taker or Material risk taker (2 Jul 2019 to 23 Feb 2023)
    • (4392)[FCA CF] Material risk taker (2 Jul 2019 to 23 Feb 2023)
  • John Kuoh Sheung Chen

    IRN JKC01031

    • (765)CF30 Customer (1 Nov 2007 to 7 Feb 2011)
    • (767)CF21 Investment Adviser (17 Jul 2006 to 31 Oct 2007)
    • (766)CF22 Investment Adviser (Trainee) (2 Feb 2006 to 17 Jul 2006)
  • John Lucas Heys Herrera

    IRN JXH03123

    • (893)[FCA CF] Client dealing (since 6 Jan 2025)
  • John Marciano

    IRN JXM01398

    • (3424)[FCA CF] Material risk taker (12 Jun 2023 to 2 Oct 2024)
    • (3422)[PRA CF] Significant risk taker or Material risk taker (12 Jun 2023 to 2 Oct 2024)
    • (3423)[FCA CF] Client dealing (12 Jun 2023 to 2 Oct 2024)
    • (3425)[FCA CF] Manager of certification employee (12 Jun 2023 to 2 Oct 2024)
  • John Martin

    IRN JEM01121

    • (157)CF30 Customer (3 Dec 2007 to 22 Oct 2014)
  • John Martin

    IRN JXM00104

    • (49)[PRA CF] Significant risk taker or Material risk taker (31 Oct 2016 to 18 Oct 2019)
    • (50)[FCA CF] Material risk taker (31 Oct 2016 to 18 Oct 2019)
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Recent activity

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

  1. controlled function added: (2077)SMF6 Head of Key Business Areas

  2. controlled function added: (2076)Responsible for Insurance Distribution

  3. controlled function added: (2075)SMF24 Chief Operations

  4. controlled function added: (2074)SMF24 Chief Operations

  5. controlled function added: (2073)SMF5 Head of Internal Audit

  6. controlled function added: (2072)SMF4 Chief Risk

  7. controlled function added: (2071)[FCA CF] Material risk taker

  8. controlled function added: (2070)[FCA CF] Client dealing

  9. controlled function added: (2069)[PRA CF] Significant risk taker or Material risk taker

  10. controlled function added: (2068)[FCA CF] Manager of certification employee

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