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.

• Joshua Presley

  IRN JPP01082

  • [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 23 Sep 2024)
  • [FCA CF] Manager of certification employee (since 23 Sep 2024)
  • [FCA CF] Significant management (since 23 Sep 2024)
• Joshua Thaminder Cheema

  IRN JTC01067

  • [FCA CF] Client dealing (1 Jul 2021 to 30 Sep 2021)
• Jovan Alston

  IRN JXA00304

  • [FCA CF] Client dealing (1 May 2024 to 5 Jan 2026)
• Julia Kowalle

  IRN JXK00076

  • [FCA CF] Manager of certification employee (since 16 Apr 2021)
  • [FCA CF] Client dealing (since 7 Sep 2016)
• Julian Belcher

  IRN JXB00215

  • [FCA CF] Client dealing (7 Sep 2016 to 4 Oct 2019)
• Julian Richard Elworthy

  IRN JXE01148

  • CF26 Customer Trading (17 Mar 2003 to 31 Mar 2005)
• Juliette Lavaud

  IRN JXL00562

  • [FCA CF] Client dealing (16 Aug 2022 to 13 Mar 2026)
• Jun Mizoguchi

  IRN JXM01475

  • CF2 Non Executive Director (1 Jul 2010 to 1 Jun 2011)
  • CF8 Apportionment and Oversight (30 Mar 2006 to 31 Oct 2007)
  • CF3 Chief Executive (30 Mar 2006 to 1 Jul 2010)
  • CF1 Director (30 Mar 2006 to 1 Jul 2010)
  • CF16 Significant Mgt (Desgntd Investment Business) (17 Mar 2003 to 19 Apr 2004)
• Jun Saito

  IRN JXS00170

  • [FCA CF] Significant management (1 Apr 2022 to 11 Apr 2025)
  • [PRA CF] Significant risk taker or Material risk taker (1 Apr 2022 to 11 Apr 2025)
  • [FCA CF] Material risk taker (1 Apr 2022 to 11 Apr 2025)
  • [FCA CF] Manager of certification employee (7 Sep 2016 to 2 May 2019)
  • [FCA CF] Client dealing (7 Sep 2016 to 2 May 2019)
• Jung Dee CHEN

  IRN JDC01192

  • [FCA CF] Client dealing (7 Sep 2016 to 31 Jul 2019)
  • [FCA CF] Manager of certification employee (7 Sep 2016 to 31 Jul 2019)
  • [FCA CF] Significant management (7 Mar 2016 to 31 Jul 2019)
  • [FCA CF] Material risk taker (7 Mar 2016 to 31 Jul 2019)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 31 Jul 2019)
  • CF29 Significant management (6 May 2011 to 6 Mar 2016)

No changes recorded yet.