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.

• Akiko Kohbayashi

  IRN AXK00093

  • [FCA CF] Client dealing (7 Sep 2016 to 3 Feb 2020)
• Akiko Ozaki

  IRN AXO00039

  • [FCA CF] Client dealing (12 Dec 2018 to 20 Oct 2023)
• Akira Ando

  IRN AXA32567

  • [PRA CF] Significant risk taker or Material risk taker (9 May 2019 to 9 Jul 2020)
  • [FCA CF] Material risk taker (9 May 2019 to 9 Jul 2020)
• Akira Fujiwara

  IRN AXF00442

  • [FCA CF] Client dealing (19 Jun 2023 to 9 Apr 2025)
  • [PRA CF] Significant risk taker or Material risk taker (19 Jun 2023 to 9 Apr 2025)
  • [FCA CF] Material risk taker (19 Jun 2023 to 9 Apr 2025)
  • [FCA CF] Manager of certification employee (19 Jun 2023 to 9 Apr 2025)
  • [FCA CF] Significant management (19 Jun 2023 to 9 Apr 2025)
• Akira Shimoyama

  IRN AXS00230

  • [FCA CF] Client dealing (9 Jul 2018 to 17 Dec 2021)
• Alain Jacquelin

  IRN AXJ00077

  • [FCA CF] Client dealing (7 Sep 2016 to 13 Mar 2026)
  • [FCA CF] Manager of certification employee (7 Sep 2016 to 14 Nov 2025)
• Alan Aylett

  IRN AXA00125

  • [FCA CF] Manager of certification employee (9 Mar 2018 to 30 Sep 2025)
  • [FCA CF] Client dealing (7 Sep 2016 to 30 Sep 2025)
• Alan McAlpine Keir

  IRN AMK01027

  • SMF9 Chair of the Governing Body (24 Mar 2022 to 2 Sep 2024)
  • SMF12 Chair of the Remuneration Committee (24 Mar 2022 to 29 Sep 2023)
  • SMF10 Chair of the Risk Committee (21 Jul 2017 to 24 Mar 2022)
• Alan Ronald Wilson

  IRN ARW01134

  • CF10 Compliance Oversight (3 Sep 2008 to 20 Jul 2012)
  • CF11 Money Laundering Reporting (3 Sep 2008 to 7 Jan 2013)
• Alaric Douglas Fountain-Barber

  IRN ADF01046

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

No changes recorded yet.