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.

• Dawn Simone Kravitz

  IRN DSF01037

  • [FCA CF] Client dealing (7 Jul 2022 to 21 Apr 2024)
• Denis Deripasko

  IRN DXD00039

  • [FCA CF] Manager of certification employee (7 Sep 2016 to 30 Nov 2023)
  • [FCA CF] Client dealing (7 Sep 2016 to 30 Nov 2023)
• Derek Andrew Ross

  IRN DAR01160

  • SMF10 Chair of the Risk Committee (7 Mar 2016 to 25 Nov 2016)
  • SMF11 Chair of the Audit Committee (7 Mar 2016 to 25 Nov 2016)
  • CF2 Non Executive Director (21 Sep 2010 to 6 Mar 2016)
• Desmond Coughlan

  IRN DXC00708

  • [FCA CF] Material risk taker (since 18 Oct 2023)
  • [PRA CF] Significant risk taker or Material risk taker (since 18 Oct 2023)
• Diane Bruelle

  IRN DLB01085

  • [FCA CF] Client dealing (1 Jul 2021 to 21 Nov 2023)
• Didier Abbato

  IRN DXA01212

  • CF26 Customer Trading (17 Mar 2003 to 2 Jul 2003)
• Dipesh Ganatra

  IRN DXG00052

  • [FCA CF] Manager of certification employee (since 14 Apr 2025)
  • [PRA CF] Significant risk taker or Material risk taker (since 15 Aug 2022)
  • [FCA CF] Material risk taker (since 15 Aug 2022)
• Douglas Seaton

  IRN DXS00951

  • [FCA CF] Client dealing (31 Jan 2024 to 19 Jul 2024)
• Edward Bullen

  IRN EXB00049

  • [PRA CF] Significant risk taker or Material risk taker (since 1 Nov 2024)
  • [FCA CF] Material risk taker (since 1 Nov 2024)
  • [FCA CF] Client dealing (since 7 Sep 2016)
  • [FCA CF] Manager of certification employee (since 7 Sep 2016)
• Edward East

  IRN EJE01017

  • [FCA CF] Manager of certification employee (since 23 Sep 2024)
  • [FCA CF] Client dealing (since 23 Sep 2024)

No changes recorded yet.