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.

• Richard Edward Davies

  IRN RED01021

  • [FCA CF] Material risk taker (7 Oct 2024 to 14 Feb 2025)
  • [PRA CF] Significant risk taker or Material risk taker (7 Oct 2024 to 14 Feb 2025)
• Richard Fabien Florent Leray

  IRN RXL00224

  • [FCA CF] Manager of certification employee (since 27 Sep 2024)
  • [FCA CF] Client dealing (since 27 Aug 2021)
• Richard George Dunmall

  IRN RXD00315

  • [PRA CF] Significant risk taker or Material risk taker (19 Apr 2022 to 19 Jun 2025)
  • [FCA CF] Material risk taker (19 Apr 2022 to 19 Jun 2025)
• Richard Hall

  IRN RXH01684

  • [FCA CF] Client dealing (1 Jul 2021 to 17 May 2024)
  • [FCA CF] Manager of certification employee (1 Jul 2021 to 17 May 2024)
• Richard John Bowser

  IRN RJB01528

  • [FCA CF] Manager of certification employee (7 Sep 2016 to 22 Dec 2020)
  • [FCA CF] Client dealing (7 Sep 2016 to 22 Dec 2020)
  • CF30 Customer (11 Sep 2015 to 6 Mar 2016)
• Richard John Miles

  IRN RJM01197

  • [FCA CF] Client dealing (7 Sep 2016 to 31 Mar 2022)
  • [FCA CF] Manager of certification employee (7 Sep 2016 to 31 Mar 2022)
  • [FCA CF] Significant management (7 Mar 2016 to 8 Oct 2021)
  • [FCA CF] Material risk taker (7 Mar 2016 to 31 Mar 2022)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 31 Mar 2022)
  • CF29 Significant management (9 Dec 2013 to 6 Mar 2016)
• Richard McKay

  IRN RJM01375

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

  IRN RJM01507

  • [FCA CF] Manager of certification employee (since 18 May 2022)
  • [FCA CF] Client dealing (since 19 Dec 2019)
• Richard Suveges

  IRN RXS00797

  • [FCA CF] Client dealing (since 2 Dec 2022)
• Ricky Shah

  IRN RJS01480

  • [FCA CF] Manager of certification employee (since 28 Sep 2023)
  • [FCA CF] Client dealing (since 7 Sep 2016)

No changes recorded yet.