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.

• Sivothayan Sivanathan

  IRN SXS01094

  • [FCA CF] Manager of certification employee (19 May 2025 to 27 Jan 2026)
  • [FCA CF] Client dealing (14 Oct 2022 to 27 Jan 2026)
• Soichiro Muramatsu

  IRN SXM04713

  • [FCA CF] Client dealing (since 13 Sep 2024)
• Sonia Ali

  IRN SXA00666

  • [FCA CF] Client dealing (3 Oct 2022 to 8 Nov 2024)
• Sophie Elizabeth Kucerov

  IRN SXM01546

  • [FCA CF] Client dealing (since 26 Mar 2025)
• Sophie Jane O'Connor

  IRN SJO01101

  • SMF9 Chair of the Governing Body (since 27 Aug 2024)
  • SMF11 Chair of the Audit Committee (8 Aug 2023 to 27 Aug 2024)
  • Director of firm who is not a certification employee or a SMF manager (31 May 2023 to 1 Sep 2023)
• Stanislas Roger

  IRN SXR01933

  • [PRA CF] Significant risk taker or Material risk taker (1 Oct 2021 to 12 Apr 2022)
  • [FCA CF] Manager of certification employee (1 Oct 2021 to 17 Sep 2024)
  • [FCA CF] Material risk taker (1 Oct 2021 to 12 Apr 2022)
  • [FCA CF] Significant management (1 Oct 2021 to 17 Sep 2024)
  • [FCA CF] Client dealing (28 Jan 2019 to 17 Sep 2024)
  • SMF3 Executive Director (7 Mar 2016 to 30 Sep 2021)
  • CF1 Director (1 Apr 2015 to 6 Mar 2016)
  • CF29 Significant management (2 Jul 2012 to 6 Mar 2016)
• Stefan Budzinski

  IRN SXB00199

  • [FCA CF] Manager of certification employee (7 Sep 2016 to 31 Mar 2024)
  • [FCA CF] Client dealing (7 Sep 2016 to 31 Mar 2024)
• Stefan Cikic

  IRN SXC48573

  • [FCA CF] Client dealing (since 5 Dec 2023)
• Stephanie Blanche Jacqueline Kiernan

  IRN SXK21698

  • [FCA CF] Material risk taker (7 Oct 2024 to 31 Mar 2025)
  • [PRA CF] Significant risk taker or Material risk taker (7 Oct 2024 to 31 Mar 2025)
• Stephanie Inlay Marie Queniat

  IRN SIQ01001

  • [FCA CF] Client dealing (7 Sep 2016 to 13 Mar 2026)
  • CF30 Customer (12 Jun 2015 to 6 Mar 2016)

No changes recorded yet.