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.

• Shashwat Gupta

  IRN SXG00733

  • [FCA CF] Client dealing (5 Oct 2023 to 31 Dec 2025)
• Shazad Amir

  IRN SXA01531

  • [FCA CF] Manager of certification employee (since 13 Oct 2025)
  • [FCA CF] Client dealing (since 23 Sep 2024)
• Sheel Sumit

  IRN SXS03173

  • [FCA CF] Manager of certification employee (since 5 Nov 2025)
  • [FCA CF] Client dealing (since 20 Dec 2017)
• Shehzad Haq

  IRN SXH00164

  • [FCA CF] Client dealing (7 Sep 2016 to 28 Feb 2023)
  • [FCA CF] Manager of certification employee (7 Sep 2016 to 28 Feb 2023)
• Sheila Cork

  IRN SXC00189

  • [FCA CF] Significant management (7 Jan 2019 to 1 Jul 2020)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 1 Jul 2020)
  • [FCA CF] Material risk taker (7 Mar 2016 to 1 Jul 2020)
• Shelley De Souza

  IRN SXD00124

  • [FCA CF] Client dealing (7 Sep 2016 to 31 Oct 2022)
• Shigehiro Kataoka

  IRN SXK01445

  • [FCA CF] Client dealing (since 23 Sep 2024)
• Shigeki Taniguchi

  IRN SXT32566

  • [FCA CF] Material risk taker (7 Mar 2016 to 12 Feb 2021)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 12 Feb 2021)
• Shin Aota

  IRN SXA00501

  • [FCA CF] Material risk taker (since 1 Oct 2025)
  • [PRA CF] Significant risk taker or Material risk taker (since 1 Oct 2025)
  • [FCA CF] Manager of certification employee (since 23 Sep 2024)
  • [FCA CF] Client dealing (since 23 Sep 2024)
• Shingo Fukuda

  IRN SXF00415

  • [FCA CF] Client dealing (20 Jun 2023 to 4 May 2025)

No changes recorded yet.