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.

• Hisaya Ishida

  IRN HXI01069

  • CF29 Significant management (24 Apr 2009 to 2 Jul 2013)
• Ho Man

  IRN HXM01189

  • [FCA CF] Client dealing (7 Sep 2016 to 7 Oct 2020)
• Hong Phuong Vo ep. Hamain

  IRN HXV00005

  • [FCA CF] Manager of certification employee (19 Dec 2019 to 4 Feb 2021)
  • [FCA CF] Client dealing (19 Dec 2019 to 4 Feb 2021)
• Howard Roger Brown

  IRN HRB01015

  • CF2 Non Executive Director (17 Mar 2003 to 23 Sep 2010)
• Hua-Ling Yu

  IRN HXY00071

  • [FCA CF] Client dealing (since 8 Apr 2026)
• Hugo Muller

  IRN HXM00166

  • [FCA CF] Client dealing (21 Apr 2021 to 24 Jun 2022)
• Hugo Silva

  IRN HXS00388

  • [FCA CF] Client dealing (22 Jun 2023 to 5 Oct 2023)
• Iain Davies

  IRN IXD00030

  • [FCA CF] Client dealing (18 Oct 2019 to 17 Jun 2024)
  • [FCA CF] Manager of certification employee (18 Oct 2019 to 17 Jun 2024)
• Ian Feinson

  IRN IMF01017

  • [FCA CF] Client dealing (23 Jan 2020 to 23 Jul 2020)
• Ian Michael Jameson

  IRN IMJ01012

  • SMF18 Other Overall Responsibility (since 18 Oct 2017)
  • SMF16 Compliance Oversight (1 Feb 2017 to 18 Oct 2017)
  • SMF17 Money Laundering Reporting Officer (MLRO) (1 Feb 2017 to 18 Oct 2017)
  • SMF3 Executive Director (7 Mar 2016 to 1 Feb 2017)
  • CF10 Compliance Oversight (20 Jul 2012 to 1 May 2013)
  • CF1 Director (1 Dec 2011 to 6 Mar 2016)
  • CF29 Significant management (5 Apr 2011 to 1 Dec 2011)

No changes recorded yet.