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.

• Mark Crawley

  IRN MAC01156

  • [FCA CF] Significant management (1 Apr 2022 to 30 Jan 2025)
  • [FCA CF] Material risk taker (13 Mar 2020 to 30 Jan 2025)
  • [PRA CF] Significant risk taker or Material risk taker (13 Mar 2020 to 30 Jan 2025)
  • [FCA CF] Client dealing (22 May 2018 to 30 Jan 2025)
  • [FCA CF] Manager of certification employee (22 May 2018 to 30 Jan 2025)
• Mark Paul Pollard

  IRN MPP01069

  • [FCA CF] Client dealing (7 Sep 2016 to 25 Sep 2025)
  • [FCA CF] Manager of certification employee (7 Sep 2016 to 25 Sep 2025)
  • CF30 Customer (19 Dec 2007 to 6 Mar 2016)
• Mark Pegrum

  IRN MXP02105

  • [FCA CF] Manager of certification employee (since 9 Sep 2021)
  • [FCA CF] Client dealing (since 9 Sep 2021)
• Mark Wrightson

  IRN MXW00120

  • [FCA CF] Client dealing (since 7 Sep 2016)
  • [FCA CF] Manager of certification employee (since 7 Sep 2016)
• Marko Milos

  IRN MXM01499

  • [PRA CF] Significant risk taker or Material risk taker (since 7 Oct 2024)
  • [FCA CF] Material risk taker (since 7 Oct 2024)
  • [FCA CF] Manager of certification employee (since 23 Sep 2024)
  • [FCA CF] Client dealing (since 23 Sep 2024)
• Markus Voeste

  IRN MXV00024

  • [FCA CF] Client dealing (19 Nov 2018 to 27 Aug 2021)
• Marta Meloni

  IRN MXM02032

  • [FCA CF] Client dealing (1 May 2024 to 31 Mar 2026)
• Martin Betts

  IRN MXB01701

  • CF26 Customer Trading (17 Mar 2003 to 20 Jul 2004)
• Martin Coulson

  IRN MXC00231

  • SMF5 Head of Internal Audit (since 1 Sep 2020)
  • [PRA CF] Significant risk taker or Material risk taker (26 Feb 2020 to 1 Sep 2020)
  • [FCA CF] Material risk taker (26 Feb 2020 to 1 Sep 2020)
• Martin Forman

  IRN MXF00352

  • [FCA CF] Client dealing (since 1 Jul 2022)

No changes recorded yet.