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.

• Ngoc Khanh Ngo

  IRN NXN00019

  • [FCA CF] Client dealing (12 Dec 2018 to 28 Apr 2023)
• Nicholas Andrew Pitts-Tucker

  IRN NAP01036

  • CF2 Non Executive Director (5 Apr 2010 to 31 Mar 2011)
  • CF30 Customer (1 Nov 2007 to 4 Apr 2010)
  • CF29 Significant management (1 Nov 2007 to 4 Apr 2010)
  • CF23 Corporate Finance Adviser (31 Jul 2006 to 31 Oct 2007)
  • CF1 Director (14 Feb 2006 to 4 Apr 2010)
  • CF16 Significant Mgt (Desgntd Investment Business) (13 May 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (17 Mar 2003 to 31 Jul 2006)
• Nicholas Henry Brailsford Lawson

  IRN NXL01237

  • [FCA CF] Manager of certification employee (since 14 Oct 2024)
  • [FCA CF] Client dealing (since 14 Oct 2024)
• Nicholas Holt

  IRN NJH01181

  • [FCA CF] Client dealing (since 23 Sep 2024)
• Nicholas Joseph

  IRN NXJ00017

  • [FCA CF] Client dealing (since 22 Feb 2018)
• Nicholas Paul Grist

  IRN NXG00064

  • [PRA CF] Significant risk taker or Material risk taker (18 Dec 2020 to 15 Nov 2023)
  • [FCA CF] Material risk taker (18 Dec 2020 to 15 Nov 2023)
• Nicholas Sproat

  IRN NXS00067

  • [FCA CF] Client dealing (since 17 Jun 2020)
• Nicholas Wheatley

  IRN NXW01262

  • [FCA CF] Manager of certification employee (18 Oct 2021 to 11 Apr 2023)
  • [FCA CF] Client dealing (23 Sep 2016 to 11 Apr 2023)
• Nico Richter

  IRN NXR00400

  • [FCA CF] Client dealing (since 24 Mar 2026)
• Nicolas Gregoriou

  IRN NXG00305

  • [FCA CF] Client dealing (since 23 Sep 2024)

No changes recorded yet.