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.

• Takashi Shimahara

  IRN TXS01471

  • CF29 Significant management (1 Apr 2008 to 24 Apr 2015)
• Takashi Yamaguchi

  IRN TXY00017

  • [PRA CF] Significant risk taker or Material risk taker (9 Jun 2021 to 28 Apr 2023)
  • [FCA CF] Client dealing (9 Jun 2021 to 28 Apr 2023)
  • [FCA CF] Manager of certification employee (9 Jun 2021 to 28 Apr 2023)
  • [FCA CF] Material risk taker (9 Jun 2021 to 28 Apr 2023)
• Takashi Yokoyama

  IRN TXY00008

  • [FCA CF] Client dealing (24 May 2018 to 27 Apr 2020)
• Takayuki Inoue

  IRN TXI01130

  • SMF3 Executive Director (7 Mar 2016 to 1 Apr 2017)
  • CF1 Director (7 May 2014 to 6 Mar 2016)
• Takehisa Manabe

  IRN TXM00259

  • [FCA CF] Significant management (11 Apr 2023 to 30 May 2025)
  • [PRA CF] Significant risk taker or Material risk taker (27 May 2021 to 30 May 2025)
  • [FCA CF] Manager of certification employee (27 May 2021 to 30 May 2025)
  • [FCA CF] Material risk taker (27 May 2021 to 30 May 2025)
  • [FCA CF] Client dealing (27 May 2021 to 30 May 2025)
• Takero Ubukata

  IRN TXU00005

  • [FCA CF] Significant management (since 1 Apr 2024)
  • [PRA CF] Significant risk taker or Material risk taker (since 1 Apr 2024)
  • [FCA CF] Material risk taker (since 1 Apr 2024)
  • [FCA CF] Client dealing (since 8 Jun 2021)
  • [FCA CF] Manager of certification employee (since 8 Jun 2021)
• Takeshi Shirai

  IRN TXS01628

  • CF29 Significant management (6 May 2011 to 9 Oct 2013)
• Takeshi Sokai

  IRN TXS03517

  • [FCA CF] Significant management (24 Jun 2019 to 11 Dec 2021)
  • [PRA CF] Significant risk taker or Material risk taker (24 Jun 2019 to 11 Dec 2021)
  • [FCA CF] Material risk taker (24 Jun 2019 to 11 Dec 2021)
• Taku Hosoya

  IRN TXH00508

  • [FCA CF] Client dealing (since 3 Jul 2025)
  • [FCA CF] Manager of certification employee (since 7 Apr 2025)
  • [FCA CF] Material risk taker (since 7 Apr 2025)
  • [FCA CF] Significant management (since 7 Apr 2025)
  • [PRA CF] Significant risk taker or Material risk taker (since 7 Apr 2025)
• Taku Kimura

  IRN TXK00040

  • [PRA CF] Significant risk taker or Material risk taker (26 Feb 2020 to 1 Apr 2022)
  • [FCA CF] Material risk taker (26 Feb 2020 to 1 Apr 2022)
  • [FCA CF] Manager of certification employee (7 Sep 2016 to 1 Apr 2022)
  • [FCA CF] Client dealing (7 Sep 2016 to 1 Apr 2022)

No changes recorded yet.