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.

• James Absolom

  IRN JAA01145

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

  IRN JWB01090

  • [FCA CF] Client dealing (since 23 Sep 2024)
• James Burkill

  IRN JXB03834

  • [FCA CF] Client dealing (since 23 Jul 2024)
• James Burnett

  IRN JXB00220

  • [FCA CF] Material risk taker (since 7 Oct 2024)
  • [PRA CF] Significant risk taker or Material risk taker (since 7 Oct 2024)
  • [FCA CF] Client dealing (since 7 Sep 2016)
  • [FCA CF] Manager of certification employee (since 7 Sep 2016)
• James Cuthbertson Miller

  IRN JCM01138

  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF26 Customer Trading (17 Mar 2003 to 31 Oct 2007)
• James Donald Hastings Fenner

  IRN JDF01047

  • SMF3 Executive Director (1 Feb 2022 to 1 May 2024)
  • [FCA CF] Manager of certification employee (7 Sep 2016 to 3 Feb 2022)
  • [FCA CF] Client dealing (7 Sep 2016 to 30 Jun 2024)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 3 Feb 2022)
  • [FCA CF] Significant management (7 Mar 2016 to 3 Feb 2022)
  • [FCA CF] Material risk taker (7 Mar 2016 to 3 Feb 2022)
  • CF30 Customer (25 Sep 2015 to 6 Mar 2016)
  • CF29 Significant management (25 Sep 2015 to 6 Mar 2016)
• James Ewan McClymont

  IRN JEM01257

  • CF30 Customer (7 May 2015 to 30 Sep 2015)
• James Hadden Lowrey

  IRN JXL00736

  • [FCA CF] Manager of certification employee (20 Nov 2023 to 31 Jan 2025)
  • [FCA CF] Client dealing (20 Nov 2023 to 31 Jan 2025)
• James Hickinbotham

  IRN JSH01097

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

  IRN JXH01445

  • [FCA CF] Client dealing (since 29 Oct 2025)

No changes recorded yet.