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.

• Peter Allcock

  IRN PXA00042

  • [FCA CF] Manager of certification employee (since 17 Jun 2019)
  • [FCA CF] Client dealing (since 12 Feb 2019)
• Peter Camps

  IRN PJC01169

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

  IRN PJM01225

  • [PRA CF] Significant risk taker or Material risk taker (since 7 Oct 2024)
  • [FCA CF] Material risk taker (since 23 Sep 2024)
  • [FCA CF] Manager of certification employee (since 23 Sep 2024)
  • [FCA CF] Significant management (since 23 Sep 2024)
  • [FCA CF] Client dealing (since 23 Sep 2024)
• Philip Anthony Smith

  IRN PXS00093

  • [FCA CF] Manager of certification employee (2 Jun 2020 to 14 Jun 2021)
  • [FCA CF] Client dealing (7 Sep 2016 to 14 Jun 2021)
• Philip Green

  IRN PDG01079

  • [FCA CF] Material risk taker (since 1 Nov 2024)
  • [PRA CF] Significant risk taker or Material risk taker (since 1 Nov 2024)
  • [FCA CF] Manager of certification employee (since 17 Jan 2019)
  • [FCA CF] Client dealing (since 7 Sep 2016)
  • CF30 Customer (28 Feb 2011 to 6 Mar 2016)
• Philip Ronald Dexter Watkins

  IRN PRW01073

  • [FCA CF] Client dealing (15 May 2023 to 20 Mar 2024)
  • [FCA CF] Manager of certification employee (15 May 2023 to 20 Mar 2024)
• Philippe Fabre

  IRN PGF01031

  • [FCA CF] Client dealing (since 7 Sep 2016)
• Phuong Tran

  IRN PXT00242

  • [FCA CF] Client dealing (since 6 Oct 2022)
• Phupinder Johar

  IRN PXJ00028

  • [FCA CF] Material risk taker (since 14 Feb 2022)
  • [PRA CF] Significant risk taker or Material risk taker (since 14 Feb 2022)
  • [FCA CF] Client dealing (since 7 Sep 2016)
  • [FCA CF] Manager of certification employee (since 7 Sep 2016)
• Pierre Kerdoncuff

  IRN PXK00245

  • [FCA CF] Client dealing (since 4 Mar 2022)

No changes recorded yet.