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

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  • · 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.

• Karen Sarah Briggs

  IRN KSB01058

  • SMF11 Chair of the Audit Committee (since 2 Sep 2024)
  • Director of firm who is not a certification employee or a SMF manager (1 Apr 2024 to 2 Sep 2024)
• Karin Honda

  IRN KXH00535

  • [FCA CF] Client dealing (since 15 Jul 2025)
• Kaswar Hameed

  IRN KXH00296

  • [PRA CF] Significant risk taker or Material risk taker (14 Mar 2022 to 2 Aug 2024)
  • [FCA CF] Material risk taker (14 Mar 2022 to 2 Aug 2024)
• Kateryna Oplachko

  IRN KXO00018

  • [FCA CF] Client dealing (16 Aug 2018 to 18 Jun 2021)
• Katsufumi Uchida

  IRN KXU01064

  • SMF3 Executive Director (2 Feb 2021 to 1 Apr 2022)
  • [FCA CF] Manager of certification employee (7 Sep 2016 to 4 Feb 2021)
  • [FCA CF] Client dealing (7 Sep 2016 to 4 Feb 2021)
  • [FCA CF] Material risk taker (7 Mar 2016 to 4 Feb 2021)
  • [FCA CF] Significant management (7 Mar 2016 to 4 Feb 2021)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 4 Feb 2021)
  • CF29 Significant management (5 May 2015 to 6 Mar 2016)
• Katsuhiko Namikawa

  IRN KXN01068

  • CF1 Director (17 Mar 2003 to 9 Dec 2005)
• Katsuhiro Kawamoto

  IRN KXK00043

  • [FCA CF] Client dealing (9 Dec 2019 to 6 Jan 2023)
• Katsuhito Kojima

  IRN KXK00045

  • [FCA CF] Client dealing (1 Jun 2018 to 14 Dec 2018)
  • [FCA CF] Manager of certification employee (1 Jun 2018 to 14 Dec 2018)
• Kavit Jogia

  IRN KXJ01179

  • [FCA CF] Client dealing (since 3 Feb 2026)
  • [FCA CF] Manager of certification employee (since 3 Feb 2026)
• Kazuaki Kiri

  IRN KXK00166

  • [FCA CF] Client dealing (20 Aug 2021 to 20 Jul 2024)
  • [FCA CF] Manager of certification employee (20 Aug 2021 to 20 Jul 2024)

No changes recorded yet.