SMBC Bank International plc

• Principal Place of Business

  100 Liverpool Street

  London

  EC2M 2AT

  UNITED KINGDOM

  Phone

  +442045071000

  Web

  https://www.smbcgroup.com/emea/home/

• Complaints Contact

  100 Liverpool Street

  London

  EC2M 2AT

  UNITED KINGDOM

  Phone

  +442045071000

• Bank Deposits

  For All, Deposit

• Investment Advice (no pensions)

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

• Authorised to Operate

  For Eligible Counterparty, Professional

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

• Arranges Investments

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

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Binary Bet, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Stockbroking

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

  Show 1 limitation Hide limitations

  • · 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, Alternative Debenture, Binary Bet, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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.

• Investment Setup

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

• Holds Your Assets

  For Eligible Counterparty, Professional, Binary Bet, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Yoshihisa Abe

  IRN YXA01211

  • CF29 Significant management (23 Jun 2015 to 6 Mar 2016)
• Yoshihisa Seko

  IRN YXS01135

  • CF1 Director (5 Apr 2010 to 2 Apr 2012)
  • CF29 Significant management (24 Apr 2009 to 5 Apr 2010)
• Yoshikazu Ito

  IRN YXI00005

  • [FCA CF] Manager of certification employee (18 Jun 2020 to 28 Apr 2023)
  • [FCA CF] Material risk taker (18 Jun 2020 to 28 Apr 2023)
  • [PRA CF] Significant risk taker or Material risk taker (18 Jun 2020 to 28 Apr 2023)
  • [FCA CF] Client dealing (18 Jun 2020 to 28 Apr 2023)
• Yoshimichi Takeshita

  IRN YXT00012

  • [FCA CF] Client dealing (16 May 2017 to 18 Apr 2019)
  • [FCA CF] Manager of certification employee (16 May 2017 to 18 Apr 2019)
• Yoshinari Koyama

  IRN YXK00101

  • [FCA CF] Client dealing (since 4 Jul 2025)
• Yoshiro Watanabe

  IRN YXW00001

  • [PRA CF] Significant risk taker or Material risk taker (5 Feb 2020 to 28 Aug 2022)
  • [FCA CF] Material risk taker (5 Feb 2020 to 28 Aug 2022)
• Yoshitaka Morita

  IRN YXM00012

  • [FCA CF] Client dealing (14 Nov 2016 to 6 Jun 2022)
  • [FCA CF] Manager of certification employee (14 Nov 2016 to 6 Jun 2022)
• Yoshiyuki Gono

  IRN YXG01080

  • SMF4 Chief Risk (7 Mar 2016 to 3 Apr 2018)
  • CF29 Significant management (1 Apr 2015 to 6 Mar 2016)
  • CF28 Systems and controls (21 Aug 2014 to 6 Mar 2016)
• Yoshiyuki Morii

  IRN YXM00080

  • [PRA CF] Significant risk taker or Material risk taker (since 5 Jul 2023)
  • [FCA CF] Material risk taker (since 5 Jul 2023)
  • [FCA CF] Manager of certification employee (since 5 Jul 2023)
  • [FCA CF] Client dealing (since 5 Jul 2023)
• Yoshiyuki Ohmi

  IRN YXO01038

  • CF1 Director (9 Jul 2012 to 17 Jun 2015)
  • CF29 Significant management (11 May 2011 to 2 Jul 2012)
  • CF28 Systems and controls (11 May 2011 to 17 Jun 2015)
  • CF14 Risk Assessment (20 Jul 2006 to 20 Mar 2007)

No changes recorded yet.