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.

• Yosuke Uemura

  IRN YXU00001

  • [PRA CF] Significant risk taker or Material risk taker (since 24 Jun 2024)
  • [FCA CF] Manager of certification employee (since 24 Jun 2024)
  • [FCA CF] Material risk taker (since 24 Jun 2024)
  • [FCA CF] Significant management (since 24 Jun 2024)
  • [PRA CF] Significant risk taker or Material risk taker (26 Feb 2020 to 17 Aug 2020)
  • [FCA CF] Material risk taker (26 Feb 2020 to 17 Aug 2020)
  • [FCA CF] Manager of certification employee (5 Apr 2017 to 17 Aug 2020)
  • [FCA CF] Client dealing (5 Apr 2017 to 17 Aug 2020)
• Young il Han

  IRN YXH00007

  • [FCA CF] Client dealing (21 Mar 2019 to 6 Feb 2026)
• Yousaf Khan

  IRN YXK00009

  • [FCA CF] Client dealing (since 7 Jun 2019)
• Yu Fujii

  IRN YXF00003

  • [FCA CF] Significant management (1 Apr 2022 to 31 Mar 2024)
  • [FCA CF] Material risk taker (21 Feb 2020 to 31 Mar 2024)
  • [PRA CF] Significant risk taker or Material risk taker (21 Feb 2020 to 31 Mar 2024)
  • [FCA CF] Manager of certification employee (3 Jun 2019 to 31 Mar 2024)
  • [FCA CF] Client dealing (3 Jun 2019 to 31 Mar 2024)
• Yui Takahashi

  IRN YXT00090

  • [FCA CF] Significant management (since 15 Apr 2026)
  • [FCA CF] Manager of certification employee (since 15 Apr 2026)
  • [PRA CF] Significant risk taker or Material risk taker (since 7 Apr 2026)
  • [FCA CF] Material risk taker (since 7 Apr 2026)
• Yuichiro Iwamoto

  IRN YXI00006

  • [FCA CF] Client dealing (2 May 2017 to 5 Aug 2023)
• Yuichiro Nakayama

  IRN YXN00044

  • [FCA CF] Client dealing (since 31 Jul 2025)
• Yuito Furuta

  IRN YXF00006

  • [FCA CF] Client dealing (since 12 Oct 2020)
• Yuji Harada

  IRN YXH01053

  • CF2 Non Executive Director (17 Mar 2003 to 24 May 2004)
• Yuji Monkawa

  IRN YXM00010

  • [FCA CF] Manager of certification employee (1 Apr 2022 to 29 Mar 2025)
  • [FCA CF] Client dealing (24 May 2018 to 29 Mar 2025)

No changes recorded yet.