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.

• Mina Takeshita

  IRN MXT00664

  • [FCA CF] Client dealing (since 27 Jan 2025)
• Minjeong Kim

  IRN MXK00817

  • [FCA CF] Client dealing (since 30 May 2024)
• Misa Togashi

  IRN MXT00087

  • [FCA CF] Client dealing (11 Sep 2020 to 7 Oct 2022)
• Misha Berry

  IRN MXB03151

  • [FCA CF] Client dealing (3 Nov 2022 to 2 Mar 2023)
• Mithun Majithia

  IRN MXM00191

  • [FCA CF] Client dealing (26 Feb 2019 to 30 Sep 2025)
• Mitsugu Kobayashi

  IRN MXK00112

  • [FCA CF] Significant management (since 1 Apr 2024)
  • [FCA CF] Manager of certification employee (since 28 Jun 2021)
  • [PRA CF] Significant risk taker or Material risk taker (since 1 Jun 2020)
  • [FCA CF] Material risk taker (since 1 Jun 2020)
• Mitsugu Serizawa

  IRN MXS02187

  • CF8 Apportionment and Oversight (1 Apr 2009 to 15 Jun 2009)
  • CF28 Systems and controls (1 Nov 2007 to 30 Apr 2008)
  • CF14 Risk Assessment (4 Apr 2007 to 31 Oct 2007)
  • CF1 Director (2 Nov 2005 to 15 Jun 2009)
• Mitsuhiro Akiyama

  IRN MXA01940

  • CF1 Director (24 Apr 2009 to 13 Apr 2012)
• Mitsuhiro Kikuchi

  IRN MXK00924

  • [FCA CF] Client dealing (since 15 Sep 2025)
  • [PRA CF] Significant risk taker or Material risk taker (since 1 Apr 2025)
  • [FCA CF] Significant management (since 1 Apr 2025)
  • [FCA CF] Material risk taker (since 1 Apr 2025)
  • [FCA CF] Manager of certification employee (since 1 Apr 2025)
• Miyuki Monypenny of Pitmilly

  IRN MXM00198

  • [FCA CF] Client dealing (since 12 Dec 2018)

No changes recorded yet.