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.

• Takuma Muroi

  IRN TXM00115

  • [FCA CF] Manager of certification employee (1 Dec 2020 to 30 May 2025)
• Takuya Ito

  IRN TXI00036

  • [FCA CF] Client dealing (1 Jul 2022 to 16 May 2024)
• Takuya Omura

  IRN TXO00026

  • [FCA CF] Client dealing (14 Oct 2019 to 21 Apr 2023)
  • [FCA CF] Manager of certification employee (14 Oct 2019 to 21 Apr 2023)
• Taro Inoue

  IRN TXI00050

  • [FCA CF] Client dealing (since 27 Jun 2023)
• Tatsuhiko Ikeda

  IRN TXI00049

  • [FCA CF] Client dealing (since 9 Jun 2023)
  • [FCA CF] Manager of certification employee (since 9 Jun 2023)
  • [FCA CF] Material risk taker (9 Jun 2023 to 7 Oct 2024)
  • [PRA CF] Significant risk taker or Material risk taker (9 Jun 2023 to 7 Oct 2024)
• Tatsunaga Yamaide

  IRN TXY01102

  • [FCA CF] Significant management (28 Jan 2019 to 23 Apr 2019)
  • [FCA CF] Manager of certification employee (28 Oct 2016 to 23 Apr 2019)
  • [FCA CF] Material risk taker (7 Mar 2016 to 23 Apr 2019)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 23 Apr 2019)
  • CF29 Significant management (1 Apr 2014 to 6 Mar 2016)
• Tatsushi Awano

  IRN TXA00363

  • [FCA CF] Client dealing (since 5 Mar 2026)
• Tatsuya Agawa

  IRN TXA00277

  • [FCA CF] Client dealing (since 1 Jul 2024)
  • [FCA CF] Manager of certification employee (since 1 Jul 2024)
  • [FCA CF] Material risk taker (since 1 Jul 2024)
  • [PRA CF] Significant risk taker or Material risk taker (since 1 Jul 2024)
• Tatsuya Arai

  IRN TXA00231

  • [FCA CF] Client dealing (19 Jun 2023 to 30 May 2025)
• Tatsuya Nishimura

  IRN TXN00012

  • [FCA CF] Material risk taker (23 May 2019 to 31 Mar 2024)
  • [FCA CF] Significant management (23 May 2019 to 31 Mar 2024)
  • [PRA CF] Significant risk taker or Material risk taker (23 May 2019 to 31 Mar 2024)
  • [FCA CF] Client dealing (23 May 2019 to 31 Mar 2024)
  • [FCA CF] Manager of certification employee (23 May 2019 to 31 Mar 2024)

No changes recorded yet.