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.

• Alice Hanratty

  IRN AXH00157

  • [FCA CF] Client dealing (since 23 Sep 2024)
  • [FCA CF] Client dealing (15 Jan 2019 to 11 Sep 2022)
• Alison Ress

  IRN AXR00123

  • [FCA CF] Significant management (7 Jan 2019 to 30 Nov 2025)
  • [FCA CF] Material risk taker (25 May 2017 to 30 Nov 2025)
  • [PRA CF] Significant risk taker or Material risk taker (25 May 2017 to 30 Nov 2025)
  • [FCA CF] Client dealing (7 Sep 2016 to 31 Mar 2017)
  • [FCA CF] Manager of certification employee (7 Sep 2016 to 31 Mar 2017)
• Allegra Valentina Speri

  IRN AXS01581

  • CF30 Customer (19 Jul 2010 to 30 Jun 2014)
• Alpa Shah

  IRN AXS02613

  • [FCA CF] Significant management (1 Feb 2022 to 11 Apr 2025)
  • [PRA CF] Significant risk taker or Material risk taker (29 Mar 2021 to 11 Apr 2025)
  • [FCA CF] Manager of certification employee (29 Mar 2021 to 11 Apr 2025)
  • [FCA CF] Material risk taker (29 Mar 2021 to 11 Apr 2025)
  • [FCA CF] Client dealing (29 Mar 2021 to 11 Apr 2025)
• Amanda Averland

  IRN AXA00504

  • [FCA CF] Client dealing (since 23 Sep 2024)
• Ambika Sharma

  IRN AXS05009

  • [FCA CF] Client dealing (since 9 Oct 2023)
• Amemiya Hiroki

  IRN AXH00531

  • [FCA CF] Client dealing (since 23 Jun 2021)
• Amitav Ghosh

  IRN AXG01533

  • [FCA CF] Client dealing (7 Sep 2016 to 31 Mar 2026)
  • [FCA CF] Manager of certification employee (7 Sep 2016 to 31 Mar 2026)
• Ammar Zulifqar

  IRN AMZ01009

  • [FCA CF] Client dealing (since 16 Oct 2019)
• Andrea Sulprizio

  IRN AXS00232

  • [FCA CF] Manager of certification employee (since 24 Apr 2023)
  • [FCA CF] Client dealing (since 7 Sep 2016)

No changes recorded yet.