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.

• Tadafumi Yukimasa

  IRN TXY00035

  • [FCA CF] Manager of certification employee (since 23 Sep 2024)
  • [FCA CF] Client dealing (since 23 Sep 2024)
• Tai Ing Chow

  IRN TIC01009

  • [FCA CF] Manager of certification employee (25 Oct 2019 to 30 Apr 2024)
  • [FCA CF] Client dealing (7 Sep 2016 to 30 Apr 2024)
  • CF30 Customer (24 Sep 2015 to 6 Mar 2016)
• Taichi Saito

  IRN TXS04015

  • [FCA CF] Client dealing (since 28 May 2024)
• Taisei Negishi

  IRN TXN00088

  • [FCA CF] Client dealing (6 Mar 2023 to 21 Mar 2025)
• Takahiro Date

  IRN TXD00328

  • [PRA CF] Significant risk taker or Material risk taker (since 29 May 2025)
  • [FCA CF] Client dealing (since 29 May 2025)
  • [FCA CF] Manager of certification employee (since 29 May 2025)
  • [FCA CF] Material risk taker (since 29 May 2025)
  • [FCA CF] Significant management (since 29 May 2025)
• Takahiro Moriguchi

  IRN TXM00482

  • [FCA CF] Algorithmic trading (since 12 Feb 2026)
  • [FCA CF] Significant management (since 1 Apr 2024)
  • [FCA CF] Manager of certification employee (since 12 Jun 2023)
  • [FCA CF] Client dealing (since 12 Jun 2023)
  • [FCA CF] Material risk taker (since 12 Jun 2023)
  • [PRA CF] Significant risk taker or Material risk taker (since 12 Jun 2023)
• Takahiro Ueno

  IRN TXU01013

  • [FCA CF] Manager of certification employee (23 Sep 2024 to 2 May 2025)
  • [FCA CF] Significant management (23 Sep 2024 to 2 May 2025)
  • [FCA CF] Client dealing (23 Sep 2024 to 2 May 2025)
• Takao Fujiki

  IRN TXF00031

  • [FCA CF] Material risk taker (3 Apr 2018 to 20 Apr 2020)
  • [FCA CF] Significant management (3 Apr 2018 to 20 Apr 2020)
  • [PRA CF] Significant risk taker or Material risk taker (3 Apr 2018 to 20 Apr 2020)
  • [FCA CF] Manager of certification employee (7 Sep 2016 to 20 Apr 2020)
  • [FCA CF] Client dealing (7 Sep 2016 to 20 Apr 2020)
• Takara Ohori

  IRN TXO00130

  • [FCA CF] Material risk taker (since 1 Apr 2024)
  • [FCA CF] Manager of certification employee (since 1 Apr 2024)
  • [FCA CF] Client dealing (since 1 Apr 2024)
  • [PRA CF] Significant risk taker or Material risk taker (since 1 Apr 2024)
  • [FCA CF] Significant management (since 1 Apr 2024)
• Takashi Harazawa

  IRN TXH01234

  • CF30 Customer (31 Jan 2012 to 6 Mar 2016)

No changes recorded yet.