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.

• Opeyemi Fasanya

  IRN OXF00046

  • [FCA CF] Client dealing (31 May 2024 to 30 Jun 2025)
• Ore Adegbotolu

  IRN OXA01299

  • [FCA CF] Client dealing (13 Sep 2021 to 10 Jan 2023)
• Osamu Nakagawa

  IRN OXN00029

  • [PRA CF] Significant risk taker or Material risk taker (since 25 Sep 2023)
  • [FCA CF] Manager of certification employee (since 25 Sep 2023)
  • [FCA CF] Material risk taker (since 25 Sep 2023)
  • [FCA CF] Significant management (since 25 Sep 2023)
• Osamu Yamashita

  IRN OXY01005

  • CF1 Director (17 Mar 2003 to 23 Feb 2004)
• Owen Verrier-Jones

  IRN OXV00003

  • SMF18 Other Overall Responsibility (since 22 Apr 2024)
  • [FCA CF] Significant management (1 Oct 2021 to 8 May 2024)
  • [PRA CF] Significant risk taker or Material risk taker (26 Oct 2017 to 8 May 2024)
  • [FCA CF] Material risk taker (26 Oct 2017 to 8 May 2024)
  • [FCA CF] Manager of certification employee (7 Sep 2016 to 8 May 2024)
  • [FCA CF] Client dealing (7 Sep 2016 to 8 May 2024)
• Paola Cecere

  IRN PXC00077

  • [FCA CF] Client dealing (7 Sep 2016 to 12 Jul 2019)
• Patricia Ann Brown

  IRN PAB01315

  • CF14 Risk Assessment (20 Jul 2006 to 20 Mar 2007)
• Patricia Jackson

  IRN PDJ01055

  • SMF10 Chair of the Risk Committee (24 Mar 2022 to 31 Dec 2024)
  • Director of firm who is not a certification employee or a SMF manager (1 Jan 2022 to 24 Mar 2022)
• Patricia Roberts

  IRN PAR01087

  • [FCA CF] Client dealing (since 12 Sep 2023)
  • [FCA CF] Manager of certification employee (since 12 Sep 2023)
• Patrick Cogan

  IRN PXC01431

  • [FCA CF] Client dealing (10 Apr 2019 to 26 Sep 2023)
  • [FCA CF] Manager of certification employee (10 Apr 2019 to 26 Sep 2023)

No changes recorded yet.