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.

• Laurel Claire Powers-Freeling

  IRN LCP01017

  • SMF10 Chair of the Risk Committee (29 Mar 2017 to 1 Sep 2017)
  • SMF11 Chair of the Audit Committee (29 Mar 2017 to 1 Sep 2017)
  • SMF12 Chair of the Remuneration Committee (7 Mar 2016 to 1 Jan 2022)
  • SMF9 Chair of the Governing Body (7 Mar 2016 to 1 Jan 2022)
  • CF2 Non Executive Director (12 Jun 2015 to 6 Mar 2016)
• Laureline Pastol

  IRN LXP00045

  • [FCA CF] Client dealing (7 Sep 2016 to 17 Sep 2021)
• Laurence Anderson

  IRN LXA00145

  • [FCA CF] Client dealing (1 Dec 2021 to 31 Oct 2024)
  • [FCA CF] Manager of certification employee (1 Dec 2021 to 31 Oct 2024)
• Laurent Guyonnet

  IRN LXG01079

  • [FCA CF] Manager of certification employee (since 29 Jul 2022)
  • [FCA CF] Client dealing (since 29 Jul 2022)
• Layth Richard Irani

  IRN LRI00003

  • [FCA CF] Significant management (18 May 2020 to 1 Oct 2025)
  • [PRA CF] Significant risk taker or Material risk taker (2 Nov 2018 to 1 Oct 2025)
  • [FCA CF] Manager of certification employee (7 Sep 2016 to 1 Oct 2025)
  • [FCA CF] Client dealing (7 Sep 2016 to 1 Oct 2025)
  • [FCA CF] Material risk taker (7 Mar 2016 to 5 Mar 2017)
  • CF30 Customer (28 Feb 2011 to 6 Mar 2016)
• Lea Lucie Laura Rocher

  IRN LXR00107

  • [FCA CF] Client dealing (19 Mar 2021 to 2 Mar 2024)
• Lee Brock

  IRN LXB01139

  • [FCA CF] Client dealing (23 Sep 2024 to 10 Mar 2025)
• Leia Basko

  IRN LXB00056

  • [FCA CF] Client dealing (10 May 2019 to 9 May 2020)
• Lesley Scott

  IRN LXS00703

  • [PRA CF] Significant risk taker or Material risk taker (since 7 Oct 2024)
  • [FCA CF] Material risk taker (since 7 Oct 2024)
• Linas Ciapas

  IRN LXC00063

  • [PRA CF] Significant risk taker or Material risk taker (since 7 Oct 2024)
  • [FCA CF] Material risk taker (since 7 Oct 2024)
  • [FCA CF] Significant management (since 10 Dec 2021)
  • [PRA CF] Significant risk taker or Material risk taker (10 Dec 2021 to 1 Apr 2023)
  • [FCA CF] Material risk taker (10 Dec 2021 to 1 Apr 2023)
  • [FCA CF] Client dealing (7 Sep 2016 to 27 Nov 2018)
  • [FCA CF] Manager of certification employee (7 Sep 2016 to 27 Nov 2018)

No changes recorded yet.