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.

• Paul Abrahams

  IRN PMA01029

  • [FCA CF] Material risk taker (7 Mar 2016 to 30 Jun 2024)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 30 Jun 2024)
• Paul Burgess

  IRN PCB01105

  • [FCA CF] Manager of certification employee (since 1 Jul 2021)
  • [FCA CF] Client dealing (since 7 Sep 2016)
  • CF30 Customer (17 Sep 2015 to 6 Mar 2016)
• Paul Clare

  IRN PXC21209

  • [FCA CF] Client dealing (23 Sep 2024 to 15 Apr 2026)
• Paul Duffy

  IRN PJD01112

  • [PRA CF] Significant risk taker or Material risk taker (1 Jul 2022 to 4 Nov 2024)
  • [FCA CF] Material risk taker (1 Jul 2022 to 4 Nov 2024)
  • [FCA CF] Manager of certification employee (12 Jun 2019 to 4 Nov 2024)
  • [FCA CF] Client dealing (9 Oct 2018 to 4 Nov 2024)
• Paul Gibbon

  IRN PDG01066

  • [FCA CF] Material risk taker (3 Apr 2018 to 31 Jul 2025)
  • [FCA CF] Significant management (3 Apr 2018 to 31 Jul 2025)
  • [FCA CF] Client dealing (7 Sep 2016 to 31 Jul 2025)
  • [FCA CF] Manager of certification employee (7 Sep 2016 to 31 Jul 2025)
  • [PRA CF] Significant risk taker or Material risk taker (6 Jun 2016 to 28 Feb 2017)
• Paul Goldman

  IRN PMG01101

  • [FCA CF] Client dealing (since 7 Sep 2016)
  • [FCA CF] Material risk taker (1 Nov 2024 to 1 Jul 2025)
  • [PRA CF] Significant risk taker or Material risk taker (1 Nov 2024 to 1 Jul 2025)
  • [FCA CF] Manager of certification employee (14 Jul 2022 to 1 Oct 2025)
  • CF30 Customer (28 Feb 2011 to 6 Mar 2016)
• Paul Hodgson-Jones

  IRN PJH01221

  • [FCA CF] Client dealing (7 Sep 2016 to 30 Jun 2023)
• Paul John Graham

  IRN PXG00057

  • [FCA CF] Significant management (28 Jan 2019 to 31 Jul 2019)
  • [FCA CF] Material risk taker (7 Mar 2016 to 31 Jul 2019)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 31 Jul 2019)
• Paul Lee Blackman

  IRN PLB01075

  • [FCA CF] Algorithmic trading (since 10 Dec 2025)
  • [FCA CF] Material risk taker (since 19 Jan 2022)
  • [PRA CF] Significant risk taker or Material risk taker (since 19 Jan 2022)
  • [FCA CF] Client dealing (since 7 Sep 2016)
  • [FCA CF] Manager of certification employee (since 7 Sep 2016)
  • [FCA CF] Proprietary trader (since 7 Mar 2016)
  • CF30 Customer (19 Dec 2007 to 6 Mar 2016)
• Paul Lodwick

  IRN PXL80543

  • [FCA CF] Client dealing (5 Apr 2022 to 31 Jan 2025)

No changes recorded yet.