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.

• Kranti Chatterjee

  IRN KXC79431

  • [FCA CF] Client dealing (since 1 May 2024)
• Kristin Dahlstrom

  IRN KKD01003

  • [FCA CF] Manager of certification employee (since 19 Oct 2018)
  • [FCA CF] Client dealing (since 7 Sep 2016)
• Kristoffer Darby

  IRN KJD01094

  • [FCA CF] Manager of certification employee (since 3 Jul 2023)
  • [FCA CF] Client dealing (since 7 Sep 2016)
• Kunal Patel

  IRN KXP00371

  • [FCA CF] Client dealing (9 Nov 2023 to 27 May 2025)
• Kurando Kataoka

  IRN KXK00042

  • [FCA CF] Client dealing (22 Sep 2020 to 27 May 2022)
  • [FCA CF] Manager of certification employee (22 Sep 2020 to 27 May 2022)
• Kurt Boere

  IRN KXB00477

  • [FCA CF] Client dealing (since 9 Feb 2023)
• Kyle Knight

  IRN KXK00388

  • [FCA CF] Client dealing (since 23 Sep 2024)
• Kyoko Yumoto

  IRN KXY01034

  • CF30 Customer (1 Nov 2007 to 24 Nov 2007)
  • CF26 Customer Trading (17 Mar 2003 to 31 Oct 2007)
• Kyota Tanahashi

  IRN KXT00041

  • [FCA CF] Client dealing (22 May 2017 to 22 Apr 2022)
• Laughlan Linton Waterston

  IRN LLW01004

  • [FCA CF] Manager of certification employee (since 17 Nov 2023)
  • [FCA CF] Client dealing (since 17 Nov 2023)
  • [PRA CF] Significant risk taker or Material risk taker (since 21 Feb 2020)
  • [FCA CF] Material risk taker (since 21 Feb 2020)
  • [FCA CF] Client dealing (7 Sep 2016 to 14 Sep 2020)
  • [FCA CF] Manager of certification employee (7 Sep 2016 to 14 Sep 2020)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF23 Corporate Finance Adviser (31 Jul 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (17 Mar 2003 to 31 Jul 2006)

No changes recorded yet.