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.

• Yasuhiro Furusaki

  IRN YXF00029

  • [FCA CF] Manager of certification employee (since 11 Jul 2024)
• Yasuhiro Terada

  IRN YXT01061

  • CF28 Systems and controls (1 Nov 2007 to 5 Jan 2010)
  • CF15 Internal Audit (25 Oct 2004 to 31 Oct 2007)
• Yasunori Takahashi

  IRN YXT32570

  • [PRA CF] Significant risk taker or Material risk taker (24 Apr 2019 to 1 Apr 2022)
  • [FCA CF] Manager of certification employee (24 Apr 2019 to 1 Apr 2022)
  • [FCA CF] Material risk taker (24 Apr 2019 to 1 Apr 2022)
  • [FCA CF] Significant management (24 Apr 2019 to 1 Apr 2022)
• Yasuo Tanaka

  IRN YXT01153

  • CF30 Customer (11 Sep 2015 to 6 Mar 2016)
• Yasushi Iwata

  IRN YXI00007

  • [FCA CF] Client dealing (3 Jul 2018 to 29 Mar 2019)
  • [FCA CF] Manager of certification employee (3 Jul 2018 to 29 Mar 2019)
• Yasuyuki Kawasaki

  IRN YXK01092

  • CF2 Non Executive Director (14 Jun 2010 to 18 Nov 2013)
  • CF29 Significant management (1 Nov 2007 to 8 May 2009)
  • CF17 Significant Mgt (Other Business Operations) (16 Jun 2005 to 31 Oct 2007)
• Yasuyuki Kimoto

  IRN YXK01008

  • CF1 Director (17 Mar 2003 to 30 Apr 2004)
  • CF3 Chief Executive (17 Mar 2003 to 30 Apr 2004)
  • CF8 Apportionment and Oversight (17 Mar 2003 to 30 Apr 2004)
• Yawar Mazhar

  IRN YXM00009

  • [FCA CF] Client dealing (7 Sep 2016 to 1 Jul 2021)
• Yihuan Chung

  IRN YXC44336

  • [FCA CF] Client dealing (24 Mar 2022 to 13 Dec 2022)
• Ying Hu

  IRN YXP00053

  • [FCA CF] Material risk taker (since 7 Oct 2024)
  • [PRA CF] Significant risk taker or Material risk taker (since 7 Oct 2024)

No changes recorded yet.