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

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  • · 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.

• Noburu Kato

  IRN NXK01220

  • CF29 Significant management (1 Nov 2007 to 5 Apr 2012)
  • CF16 Significant Mgt (Desgntd Investment Business) (1 Oct 2007 to 31 Oct 2007)
• Nobuto Saimyoji

  IRN NXS00063

  • [FCA CF] Client dealing (22 Sep 2020 to 26 Jul 2021)
• Nobuyuki Shirafuji

  IRN NXS01449

  • CF14 Risk Assessment (12 Apr 2006 to 4 Apr 2007)
  • CF1 Director (12 Apr 2006 to 10 May 2013)
• Nobuyuki Takiguchi

  IRN NXT27445

  • SMF3 Executive Director (21 Mar 2022 to 1 Jun 2024)
  • SMF2 Chief Finance (21 Mar 2022 to 1 Apr 2024)
  • SMF24 Chief Operations (1 Apr 2020 to 1 Apr 2024)
  • [FCA CF] Manager of certification employee (23 Apr 2019 to 1 Apr 2020)
  • [FCA CF] Significant management (28 Jan 2019 to 1 Apr 2020)
  • [PRA CF] Significant risk taker or Material risk taker (18 Apr 2018 to 1 Apr 2020)
  • [FCA CF] Material risk taker (18 Apr 2018 to 1 Apr 2020)
• Norihito Obata

  IRN NXO00113

  • [FCA CF] Client dealing (since 8 Jul 2025)
  • [FCA CF] Manager of certification employee (since 17 Apr 2025)
  • [FCA CF] Significant management (since 17 Apr 2025)
  • [PRA CF] Significant risk taker or Material risk taker (since 17 Apr 2025)
  • [FCA CF] Material risk taker (since 17 Apr 2025)
• Norio Ohashi

  IRN NXO32571

  • [FCA CF] Significant management (28 Apr 2016 to 14 Jun 2016)
  • [FCA CF] Material risk taker (7 Mar 2016 to 18 Apr 2019)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 18 Apr 2019)
• Oi Yin Wong

  IRN OXW00001

  • [FCA CF] Client dealing (since 7 Sep 2016)
• Oi Ying Vanessa Law

  IRN OXL00057

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

  IRN OXR01032

  • [FCA CF] Client dealing (since 3 Feb 2023)
• Oliver Davidson

  IRN OXD00014

  • [PRA CF] Significant risk taker or Material risk taker (since 4 Feb 2021)
  • [FCA CF] Material risk taker (since 4 Feb 2021)

No changes recorded yet.