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.

• Masakazu Hasegawa

  IRN MXH00192

  • [FCA CF] Significant management (3 Apr 2017 to 28 Jun 2021)
  • [FCA CF] Client dealing (3 Apr 2017 to 28 Jun 2021)
  • [FCA CF] Material risk taker (3 Apr 2017 to 28 Jun 2021)
  • [FCA CF] Manager of certification employee (3 Apr 2017 to 28 Jun 2021)
  • [PRA CF] Significant risk taker or Material risk taker (3 Apr 2017 to 28 Jun 2021)
• Masaki Hikihara

  IRN MXH00194

  • [PRA CF] Significant risk taker or Material risk taker (18 May 2018 to 20 Apr 2021)
  • [FCA CF] Client dealing (18 May 2018 to 20 Apr 2021)
  • [FCA CF] Manager of certification employee (18 May 2018 to 20 Apr 2021)
  • [FCA CF] Material risk taker (18 May 2018 to 20 Apr 2021)
  • [FCA CF] Significant management (18 May 2018 to 20 Apr 2021)
• Masaki Kambayashi

  IRN MXK02830

  • SMF3 Executive Director (15 Jul 2017 to 18 May 2020)
  • [FCA CF] Client dealing (12 May 2017 to 16 Jul 2017)
  • [FCA CF] Material risk taker (12 May 2017 to 16 Jul 2017)
  • [FCA CF] Significant management (12 May 2017 to 16 Jul 2017)
  • [PRA CF] Significant risk taker or Material risk taker (12 May 2017 to 16 Jul 2017)
  • [FCA CF] Manager of certification employee (12 May 2017 to 16 Jul 2017)
• Masako Yamanaka

  IRN MXY01065

  • [FCA CF] Manager of certification employee (7 Sep 2016 to 13 Dec 2024)
  • [FCA CF] Client dealing (7 Sep 2016 to 13 Dec 2024)
  • CF30 Customer (23 Apr 2009 to 6 Mar 2016)
• Masanori Hisazumi

  IRN MXH03301

  • [FCA CF] Client dealing (since 8 Jul 2025)
  • [FCA CF] Manager of certification employee (since 8 Jul 2025)
• Masashi Hayashi

  IRN MXH00193

  • [FCA CF] Client dealing (7 Sep 2016 to 28 Nov 2019)
• Masashi Hori

  IRN HXM01292

  • CF30 Customer (19 Dec 2007 to 28 Apr 2011)
• Masatoshi Nakamura

  IRN MXN00061

  • [FCA CF] Client dealing (16 Oct 2020 to 22 Dec 2025)
• Masaya Ochiai

  IRN MXO01417

  • CF30 Customer (30 Jul 2011 to 10 May 2013)
• Masayuki Miyashita

  IRN MXM00193

  • [FCA CF] Manager of certification employee (1 Nov 2019 to 18 Dec 2023)
  • [FCA CF] Client dealing (1 Nov 2019 to 18 Dec 2023)

No changes recorded yet.