Standard Chartered Bank

Date authorised
1 April 2013
Companies House
ZC000018
Last scraped
6 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 Matthews

    IRN JXM01557

    • (2933)CF30 Customer (29 Jun 2009 to 30 Apr 2014)
  • John Ming-Kiu Tan

    IRN JXT00059

    • (1691)[FCA CF] Significant management (15 Oct 2018 to 27 Feb 2025)
    • (1688)[PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 27 Feb 2025)
    • (1690)[FCA CF] Manager of certification employee (7 Mar 2016 to 13 Mar 2023)
    • (1689)[FCA CF] Material risk taker (7 Mar 2016 to 27 Feb 2025)
  • John Newman

    IRN JXN01130

    • (472)[FCA CF] Manager of certification employee (since 14 Apr 2025)
    • (468)[PRA CF] Significant risk taker or Material risk taker (since 14 Apr 2025)
    • (471)[FCA CF] Material risk taker (since 14 Apr 2025)
    • (470)[FCA CF] Client dealing (since 14 Apr 2025)
    • (469)[FCA CF] Algorithmic trading (since 14 Apr 2025)
    • (2965)[FCA CF] Significant management (14 Apr 2025 to 14 Nov 2025)
  • John Paul Cusack

    IRN JPC01249

    • (1197)SMF17 Money Laundering Reporting Officer (MLRO) (7 Mar 2016 to 2 Jan 2019)
    • (1198)CF11 Money Laundering Reporting (6 Aug 2014 to 6 Mar 2016)
  • John Peace

    IRN JWP01031

    • (405)SMF9 Chair of the Governing Body (7 Mar 2016 to 1 Dec 2016)
    • (406)CF2 Non Executive Director (1 Aug 2007 to 6 Mar 2016)
  • John Richard Goodridge

    IRN JRG01101

    • (947)CF21 Investment Adviser (5 Jun 2003 to 3 Oct 2005)
    • (946)CF23 Corporate Finance Adviser (5 Jun 2003 to 3 Oct 2005)
  • John Robert Lee

    IRN JRL01050

    • (1259)CF30 Customer (5 Feb 2014 to 6 Mar 2016)
  • John Stephen Batalla

    IRN JXB00106

    • (4287)[FCA CF] Client dealing (16 Oct 2020 to 19 Jul 2021)
  • John W Collier

    IRN JWC01062

    • (3175)[FCA CF] Functions requiring qualifications (7 Mar 2016 to 4 May 2023)
    • (3174)CF30 Customer (1 Aug 2008 to 6 Mar 2016)
  • John-Paul Alexander Parker

    IRN JAP01194

    • (332)[FCA CF] Manager of certification employee (since 3 Mar 2023)
    • (330)[FCA CF] Client dealing (since 1 Feb 2023)
    • (329)[PRA CF] Significant risk taker or Material risk taker (since 23 Jan 2023)
    • (331)[FCA CF] Material risk taker (since 23 Jan 2023)
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Recent activity

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

  1. controlled function added: (2047)[FCA CF] Material risk taker

  2. controlled function added: (2046)[FCA CF] Client dealing

  3. controlled function added: (2045)[PRA CF] Significant risk taker or Material risk taker

  4. controlled function added: (2044)[FCA CF] Client dealing

  5. controlled function added: (2043)[FCA CF] Manager of certification employee

  6. controlled function added: (2042)[FCA CF] Material risk taker

  7. controlled function added: (2041)[PRA CF] Significant risk taker or Material risk taker

  8. controlled function added: (2040)[FCA CF] Client dealing

  9. controlled function added: (2039)[FCA CF] Material risk taker

  10. controlled function added: (2038)[FCA CF] Client dealing

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