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.

• Risa Azehara

  IRN RXA00221

  • [FCA CF] Client dealing (since 6 Aug 2021)
• Rishi Ramdhony

  IRN RXR00296

  • [FCA CF] Client dealing (28 Oct 2022 to 22 Sep 2023)
• Roald Mattijs Scholten

  IRN RXS00643

  • [PRA CF] Significant risk taker or Material risk taker (since 21 Mar 2022)
  • [FCA CF] Material risk taker (since 21 Mar 2022)
• Robert Andrew Hooper

  IRN RAH01286

  • SMF24 Chief Operations (since 1 Apr 2024)
  • [FCA CF] Significant management (5 Oct 2022 to 31 Mar 2024)
  • [FCA CF] Manager of certification employee (5 Oct 2022 to 31 Mar 2024)
  • [PRA CF] Significant risk taker or Material risk taker (5 Oct 2022 to 31 Mar 2024)
  • [FCA CF] Material risk taker (5 Oct 2022 to 31 Mar 2024)
• Robert Balch

  IRN ROB01012

  • [FCA CF] Material risk taker (7 Oct 2024 to 31 Jul 2025)
  • [PRA CF] Significant risk taker or Material risk taker (7 Oct 2024 to 31 Jul 2025)
  • [FCA CF] Significant management (23 Sep 2024 to 31 Jul 2025)
  • [FCA CF] Client dealing (23 Sep 2024 to 31 Jul 2025)
  • [FCA CF] Manager of certification employee (23 Sep 2024 to 31 Jul 2025)
• Robert Carney

  IRN RDC01109

  • [FCA CF] Client dealing (7 Sep 2016 to 31 Jan 2025)
  • [FCA CF] Manager of certification employee (7 Sep 2016 to 31 Jan 2025)
• Robert Clews

  IRN RXC00134

  • [FCA CF] Client dealing (7 Sep 2016 to 24 May 2021)
  • [FCA CF] Manager of certification employee (7 Sep 2016 to 24 May 2021)
• Robert Michael Kenny

  IRN RXK69080

  • [FCA CF] Manager of certification employee (since 10 Apr 2025)
  • [FCA CF] Client dealing (since 30 Sep 2022)
• Robert Nesbitt

  IRN RXN00043

  • [FCA CF] Client dealing (7 Sep 2016 to 6 Dec 2022)
• Robert Stevenson

  IRN RXS00163

  • [FCA CF] Manager of certification employee (since 25 Jul 2025)
  • [FCA CF] Client dealing (since 7 Sep 2016)

No changes recorded yet.