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.

• Graeme Futter

  IRN GAF01053

  • [FCA CF] Manager of certification employee (since 16 Jan 2025)
  • [FCA CF] Material risk taker (since 6 Jan 2025)
  • [PRA CF] Significant risk taker or Material risk taker (since 6 Jan 2025)
  • [FCA CF] Client dealing (since 5 Jul 2017)
  • [PRA CF] Significant risk taker or Material risk taker (31 Dec 2019 to 1 Nov 2022)
  • [FCA CF] Material risk taker (31 Dec 2019 to 1 Nov 2022)
  • [FCA CF] Manager of certification employee (20 May 2019 to 26 Sep 2019)
• Graeme Ross Greenaway

  IRN GXG00143

  • [FCA CF] Significant management (7 Mar 2025 to 31 Jan 2026)
  • [FCA CF] Manager of certification employee (6 Sep 2021 to 31 Jan 2026)
  • [PRA CF] Significant risk taker or Material risk taker (6 Sep 2021 to 31 Jan 2026)
  • [FCA CF] Material risk taker (6 Sep 2021 to 31 Jan 2026)
• Graham Wintersgill

  IRN GAW01052

  • [FCA CF] Client dealing (7 Mar 2016 to 22 Oct 2020)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 22 Oct 2020)
  • [FCA CF] Material risk taker (7 Mar 2016 to 22 Oct 2020)
  • [FCA CF] Manager of certification employee (7 Mar 2016 to 22 Oct 2020)
  • CF30 Customer (18 Sep 2013 to 6 Mar 2016)
• Grahame Keith Smith

  IRN GKS01038

  • CF30 Customer (1 Nov 2007 to 15 Sep 2010)
  • CF26 Customer Trading (4 Sep 2007 to 31 Oct 2007)
• Grant Allen Parkinson

  IRN GXP00086

  • [FCA CF] Material risk taker (since 24 Nov 2020)
  • [PRA CF] Significant risk taker or Material risk taker (since 24 Nov 2020)
  • [FCA CF] Manager of certification employee (1 Dec 2020 to 1 Jan 2024)
• Greg Elliott

  IRN GXE00015

  • [PRA CF] Significant risk taker or Material risk taker (since 18 Dec 2017)
  • [FCA CF] Material risk taker (since 18 Dec 2017)
• Gregg John Powell

  IRN GXP00028

  • [FCA CF] Manager of certification employee (14 Jan 2020 to 1 Apr 2021)
  • [FCA CF] Material risk taker (7 Mar 2016 to 26 Nov 2024)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 26 Nov 2024)
• Gregory Antony Meier

  IRN GAM01077

  • CF30 Customer (19 Jun 2014 to 6 Mar 2016)
• Gregory Harold Ness

  IRN GXN01047

  • CF30 Customer (28 Jul 2009 to 12 Jan 2010)
• Gregory Pierre Rene Beaume

  IRN GXB00413

  • [FCA CF] Client dealing (since 30 Oct 2023)

No changes recorded yet.