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.

• Shingo Nakayama

  IRN SXN00315

  • [FCA CF] Client dealing (23 Sep 2024 to 1 Sep 2025)
• Shinichi Hayashida

  IRN SXH01383

  • CF1 Director (3 Feb 2004 to 24 Apr 2006)
  • CF14 Risk Assessment (6 Jan 2004 to 24 Apr 2006)
• Shinichi Nakatani

  IRN SXN00047

  • [PRA CF] Significant risk taker or Material risk taker (4 Jul 2022 to 31 Jan 2023)
  • [FCA CF] Material risk taker (4 Jul 2022 to 31 Jan 2023)
  • [FCA CF] Manager of certification employee (7 Sep 2016 to 31 Jan 2023)
  • [FCA CF] Client dealing (7 Sep 2016 to 31 Jan 2023)
• Shinichi Okamoto

  IRN SXO00038

  • [FCA CF] Significant management (28 Jan 2019 to 1 Oct 2021)
  • [FCA CF] Manager of certification employee (3 Apr 2018 to 1 Oct 2021)
  • [FCA CF] Material risk taker (7 Mar 2016 to 1 Oct 2021)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 1 Oct 2021)
• Shinichiro Namba

  IRN SXN01270

  • CF30 Customer (14 Jul 2010 to 28 Nov 2014)
• Shinichiro Nishino

  IRN SXN00049

  • [PRA CF] Significant risk taker or Material risk taker (1 Apr 2022 to 31 Mar 2024)
  • [FCA CF] Manager of certification employee (1 Apr 2022 to 31 Mar 2024)
  • [FCA CF] Significant management (1 Apr 2022 to 31 Mar 2024)
  • [FCA CF] Client dealing (3 Apr 2018 to 18 Apr 2019)
  • [FCA CF] Material risk taker (7 Mar 2016 to 18 Apr 2019)
• Shinichiro Watanabe

  IRN SXW01948

  • CF29 Significant management (1 Apr 2014 to 22 May 2015)
• Shinjiro Sadakuni

  IRN SXS00204

  • [FCA CF] Manager of certification employee (18 Apr 2019 to 15 Apr 2022)
  • [FCA CF] Client dealing (4 Jun 2018 to 15 Apr 2022)
• Shinsuke Kurata

  IRN SXK00779

  • [FCA CF] Material risk taker (since 1 Apr 2024)
  • [FCA CF] Manager of certification employee (since 1 Apr 2024)
  • [FCA CF] Significant management (since 1 Apr 2024)
  • [PRA CF] Significant risk taker or Material risk taker (since 1 Apr 2024)
• Shinsuke Matsuura

  IRN SXM00209

  • [FCA CF] Significant management (18 Jun 2020 to 31 Mar 2024)
  • [PRA CF] Significant risk taker or Material risk taker (18 Mar 2020 to 31 Mar 2024)
  • [FCA CF] Material risk taker (18 Mar 2020 to 31 Mar 2024)
  • [FCA CF] Manager of certification employee (8 May 2018 to 31 Mar 2024)
  • [FCA CF] Client dealing (8 May 2018 to 31 Mar 2024)

No changes recorded yet.