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.

• Jonathan Richard Eifion-Jones

  IRN JRE01041

  • [FCA CF] Manager of certification employee (7 May 2020 to 31 Dec 2022)
  • [FCA CF] Significant management (21 Dec 2018 to 31 Dec 2022)
  • [FCA CF] Material risk taker (7 Mar 2016 to 31 Dec 2022)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 31 Dec 2022)
  • CF28 Systems and controls (1 Nov 2007 to 6 Mar 2016)
  • CF14 Risk Assessment (1 Nov 2004 to 1 Aug 2006)
  • CF13 Finance (17 Mar 2003 to 31 Oct 2007)
• Jordan Christiansen

  IRN JXC00217

  • [FCA CF] Client dealing (19 Nov 2018 to 19 Sep 2022)
• Jordan Curtin

  IRN JXC00219

  • [FCA CF] Client dealing (13 Dec 2017 to 30 Sep 2025)
• Jordyn Laina

  IRN JXL00810

  • [FCA CF] Client dealing (since 21 May 2024)
• Joseph Bailey

  IRN JWB01168

  • [FCA CF] Client dealing (1 Jul 2021 to 17 May 2024)
• Joseph Plank

  IRN JXP00126

  • [FCA CF] Client dealing (7 Sep 2016 to 19 Oct 2021)
  • [FCA CF] Manager of certification employee (7 Sep 2016 to 19 Oct 2021)
• Joseph Xavier Gregory Aylward

  IRN JXA00300

  • [FCA CF] Client dealing (30 Jul 2021 to 17 May 2024)
• Josephine Pletts

  IRN JXP00127

  • [FCA CF] Manager of certification employee (13 May 2022 to 26 Nov 2024)
  • [FCA CF] Client dealing (8 Jan 2019 to 26 Nov 2024)
• Joshua Bright

  IRN JXB00030

  • [FCA CF] Client dealing (since 23 Sep 2024)
• Joshua Galaun

  IRN JMG01100

  • [FCA CF] Client dealing (15 Jul 2020 to 10 May 2021)
  • [FCA CF] Manager of certification employee (15 Jul 2020 to 10 May 2021)

No changes recorded yet.