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.

• Martin Hudak

  IRN MXH52711

  • [FCA CF] Client dealing (since 23 Jun 2025)
  • [FCA CF] Client dealing (23 Sep 2024 to 25 Feb 2025)
• Martin Kennedy

  IRN MXK00110

  • [FCA CF] Material risk taker (since 5 Feb 2020)
  • [PRA CF] Significant risk taker or Material risk taker (since 5 Feb 2020)
  • [FCA CF] Manager of certification employee (since 7 Sep 2016)
  • [FCA CF] Client dealing (since 7 Sep 2016)
• Martin Shi Chuan Teoh

  IRN MXT00713

  • [FCA CF] Client dealing (since 17 Jun 2025)
• Masaaki Komatsu

  IRN MXK00418

  • [FCA CF] Material risk taker (since 8 Nov 2021)
  • [FCA CF] Significant management (since 8 Nov 2021)
  • [PRA CF] Significant risk taker or Material risk taker (since 8 Nov 2021)
  • [FCA CF] Manager of certification employee (8 Nov 2021 to 9 May 2025)
• Masaaki Miyake

  IRN MXM02086

  • [FCA CF] Client dealing (since 4 Jul 2024)
  • [FCA CF] Manager of certification employee (since 4 Jul 2024)
• Masaaki Sasai

  IRN MXS02701

  • SMF3 Executive Director (7 Mar 2016 to 22 Apr 2016)
  • CF1 Director (12 Jun 2015 to 6 Mar 2016)
  • CF29 Significant management (30 Apr 2010 to 12 Jun 2015)
• Masahiko Mizuguchi

  IRN MXM00194

  • [FCA CF] Manager of certification employee (2 May 2017 to 24 May 2019)
  • [FCA CF] Client dealing (2 May 2017 to 24 May 2019)
  • [FCA CF] Material risk taker (2 May 2017 to 24 May 2019)
  • [FCA CF] Significant management (2 May 2017 to 24 May 2019)
  • [PRA CF] Significant risk taker or Material risk taker (2 May 2017 to 24 May 2019)
• Masahiko Oshima

  IRN MXO01488

  • SMF1 Chief Executive (7 Mar 2016 to 27 Sep 2016)
  • CF3 Chief Executive (1 Aug 2013 to 6 Mar 2016)
  • CF1 Director (1 Aug 2013 to 6 Mar 2016)
• Masahiro Sasamoto

  IRN MXS00222

  • [FCA CF] Client dealing (22 May 2018 to 12 Jun 2021)
• Masahiro Tsuji

  IRN MXT00093

  • [FCA CF] Client dealing (10 Dec 2018 to 5 Oct 2021)

No changes recorded yet.