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

  Show 1 limitation Hide limitations

  • · 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.

• Stuart John Wheeler

  IRN SJW01312

  • [FCA CF] Material risk taker (since 21 Mar 2022)
  • [PRA CF] Significant risk taker or Material risk taker (since 21 Mar 2022)
• Stuart McIntosh

  IRN STM01048

  • [PRA CF] Significant risk taker or Material risk taker (since 1 Apr 2025)
  • [FCA CF] Material risk taker (since 1 Apr 2025)
  • [FCA CF] Manager of certification employee (since 14 Jun 2021)
  • [FCA CF] Client dealing (since 26 Sep 2019)
• Stuart Moon

  IRN SXM01552

  • [FCA CF] Manager of certification employee (since 26 Nov 2024)
  • [FCA CF] Client dealing (since 15 Nov 2018)
• Stuart White

  IRN SXW00130

  • [FCA CF] Client dealing (7 Sep 2016 to 28 Jun 2019)
• Suhyun Byun

  IRN SXB00200

  • [FCA CF] Client dealing (since 25 Feb 2020)
• Sumito Maruoka

  IRN SXM00208

  • [FCA CF] Material risk taker (since 7 Oct 2024)
  • [PRA CF] Significant risk taker or Material risk taker (since 7 Oct 2024)
  • [FCA CF] Client dealing (since 1 Jun 2018)
  • [FCA CF] Manager of certification employee (since 1 Jun 2018)
• Susan Mary McAll

  IRN SMM01051

  • SMF16 Compliance Oversight (20 Oct 2017 to 31 Dec 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (20 Oct 2017 to 31 Dec 2024)
  • CF10 Compliance Oversight (4 Oct 2012 to 6 Mar 2016)
• Suzannah Maria Pierse

  IRN SXP00452

  • SMF24 Chief Operations (since 26 Jul 2022)
  • [FCA CF] Manager of certification employee (19 May 2022 to 26 Jul 2022)
  • [FCA CF] Significant management (19 May 2022 to 26 Jul 2022)
  • [FCA CF] Material risk taker (30 Jul 2021 to 26 Jul 2022)
  • [PRA CF] Significant risk taker or Material risk taker (30 Jul 2021 to 26 Jul 2022)
• Sweta Dantuluri

  IRN SXD00662

  • [FCA CF] Client dealing (28 Feb 2023 to 7 Aug 2024)
• Syeda Zaidi

  IRN SNZ01001

  • [FCA CF] Client dealing (7 Sep 2016 to 21 Aug 2017)

No changes recorded yet.