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.

• Keisuke Yoshida

  IRN KXY00011

  • [FCA CF] Manager of certification employee (17 Jul 2018 to 31 May 2019)
  • [FCA CF] Client dealing (17 Jul 2018 to 31 May 2019)
• Keith Malcolm Macdonald

  IRN KXM00055

  • SMF12 Chair of the Remuneration Committee (1 Sep 2023 to 28 Feb 2025)
  • Director of firm who is not a certification employee or a SMF manager (12 Oct 2022 to 1 Sep 2023)
• Ken Ito Mustafa-Wright

  IRN KXM56549

  • [FCA CF] Client dealing (since 7 Jun 2024)
  • [FCA CF] Manager of certification employee (since 7 Jun 2024)
• Kenichi Hosomi

  IRN KXH01476

  • SMF7 Group Entity Senior Manager (7 Mar 2016 to 25 Jul 2018)
  • CF2 Non Executive Director (18 Jun 2015 to 6 Mar 2016)
  • CF1 Director (28 Mar 2012 to 18 Jun 2015)
  • CF29 Significant management (1 Apr 2009 to 28 Mar 2012)
• Kenichiro Nakahama

  IRN KXN00218

  • [FCA CF] Client dealing (since 19 Sep 2025)
• Kenichiro Tanaka

  IRN KXT00158

  • [FCA CF] Manager of certification employee (since 28 Nov 2024)
  • [FCA CF] Client dealing (since 21 Dec 2021)
• Kenji Baba

  IRN KXB00266

  • [FCA CF] Manager of certification employee (30 Apr 2021 to 30 Sep 2023)
  • [FCA CF] Significant management (30 Apr 2021 to 30 Sep 2023)
• Kenji Fukuda

  IRN KXF01243

  • CF29 Significant management (8 May 2012 to 6 Mar 2016)
• Kenji Seto

  IRN KXS01236

  • CF16 Significant Mgt (Desgntd Investment Business) (19 May 2004 to 20 Jun 2005)
• Kenji Yanagawa

  IRN KXY00010

  • [FCA CF] Significant management (12 Apr 2021 to 14 Apr 2023)
  • [FCA CF] Material risk taker (11 Mar 2020 to 14 Apr 2023)
  • [PRA CF] Significant risk taker or Material risk taker (11 Mar 2020 to 14 Apr 2023)
  • [FCA CF] Client dealing (7 Sep 2016 to 14 Apr 2023)
  • [FCA CF] Manager of certification employee (7 Sep 2016 to 14 Apr 2023)

No changes recorded yet.