Standard Chartered Bank

• 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

• Bank Deposits

  For All, Deposit

• Mortgage Servicing

  For Customer, Regulated mortgage contract

• P2P Lending Advice

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

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Alternative Debenture, Binary Bet, 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, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 3 limitations Hide 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 Hide limitations

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

• Arranges Investments

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Alternative Debenture, Binary Bet, 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, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 3 limitations Hide 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 Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Binary Bet, 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 3 limitations Hide 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 Eligible Counterparty, Professional, Emissions Auction Product

  Show 1 limitation Hide limitations

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

• Trade Settlement Routing

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

  Show 2 limitations Hide 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 Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Binary Bet, 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 3 limitations Hide 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 Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Binary Bet, 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 3 limitations Hide 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 Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Alternative Debenture, Binary Bet, 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, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 3 limitations Hide 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 Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Binary Bet, 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 3 limitations Hide 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 Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Binary Bet, 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 3 limitations Hide 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 Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 2 limitations Hide 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.

• Hyun Hee An

  IRN HXA00025

  • [FCA CF] Manager of certification employee (1 Sep 2021 to 2 Sep 2021)
  • [FCA CF] Material risk taker (8 Jun 2021 to 1 Nov 2022)
  • [PRA CF] Significant risk taker or Material risk taker (8 Jun 2021 to 1 Nov 2022)
• Ian Anderson

  IRN ICA01008

  • [FCA CF] Significant management (1 Jan 2021 to 1 Aug 2024)
  • [FCA CF] Manager of certification employee (7 Mar 2016 to 1 Jan 2021)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 1 Aug 2024)
  • [PRA CF] Managing a material risk taker (7 Mar 2016 to 1 Jan 2021)
  • [FCA CF] Material risk taker (7 Mar 2016 to 1 Aug 2024)
  • CF28 Systems and controls (22 Sep 2014 to 6 Mar 2016)
• Ian Bryden

  IRN IXB00014

  • [FCA CF] Manager of certification employee (7 Mar 2016 to 23 Mar 2023)
  • [FCA CF] Material risk taker (7 Mar 2016 to 23 Mar 2023)
  • [PRA CF] Managing a material risk taker (7 Mar 2016 to 23 Mar 2023)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 23 Mar 2023)
• Ian David Stephenson

  IRN IXS00273

  • [FCA CF] Material risk taker (since 26 Mar 2024)
  • [PRA CF] Significant risk taker or Material risk taker (since 26 Mar 2024)
• Ian Donald Samson

  IRN IDS01033

  • CF27 Investment Management (15 Jun 2005 to 24 Nov 2006)
• Ian Farmer

  IRN IDF00012

  • [FCA CF] Functions requiring qualifications (13 Nov 2017 to 30 Jun 2021)
• Ian John Cockerill

  IRN IJC01025

  • [PRA CF] Significant risk taker or Material risk taker (7 Aug 2017 to 26 Jul 2021)
  • [FCA CF] Manager of certification employee (7 Aug 2017 to 18 Jun 2018)
  • [FCA CF] Material risk taker (7 Aug 2017 to 26 Jul 2021)
• Ian Krassek

  IRN IXK00015

  • [FCA CF] Manager of certification employee (16 Nov 2017 to 12 Dec 2017)
  • [PRA CF] Significant risk taker or Material risk taker (28 Aug 2017 to 11 Apr 2019)
  • [FCA CF] Client dealing (28 Aug 2017 to 11 Apr 2019)
  • [FCA CF] Material risk taker (28 Aug 2017 to 11 Apr 2019)
• Ian Martin Mote

  IRN IMM01033

  • CF23 Corporate Finance Adviser (1 Dec 2001 to 19 Feb 2002)
• Ian Penney

  IRN IXP01099

  • CF30 Customer (18 Feb 2016 to 6 Mar 2016)

No changes recorded yet.