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.

• Yingying Zhang

  IRN YXZ00003

  • [FCA CF] Manager of certification employee (since 20 May 2019)
  • [FCA CF] Client dealing (since 20 May 2019)
• Yoann Wester

  IRN YXW00002

  • [FCA CF] Client dealing (7 Sep 2016 to 13 Jan 2022)
• Yohei Matsumi

  IRN YXM00063

  • [FCA CF] Significant management (11 Jul 2022 to 12 Jul 2022)
  • [FCA CF] Client dealing (11 Jul 2022 to 27 Apr 2024)
  • [FCA CF] Manager of certification employee (11 Jul 2022 to 27 Apr 2024)
  • [FCA CF] Material risk taker (11 Jul 2022 to 27 Apr 2024)
  • [PRA CF] Significant risk taker or Material risk taker (11 Jul 2022 to 27 Apr 2024)
• Yohei Sakurai

  IRN YXS00104

  • [FCA CF] Client dealing (since 8 Jun 2023)
• Yohsuke Kanakogi

  IRN YXK00079

  • [FCA CF] Manager of certification employee (since 4 Apr 2025)
  • [FCA CF] Client dealing (since 24 May 2024)
• Yoko Konishi

  IRN YXK00010

  • [FCA CF] Client dealing (7 Sep 2016 to 27 Dec 2019)
• Yoshiaki Kageyama

  IRN YXK01202

  • CF29 Significant management (14 May 2015 to 6 Mar 2016)
• Yoshihiro Horikawa

  IRN YXH01088

  • CF29 Significant management (1 Oct 2008 to 20 May 2011)
  • CF28 Systems and controls (1 Apr 2008 to 20 May 2011)
• Yoshihiro Ikeda

  IRN YXI01070

  • CF29 Significant management (14 May 2013 to 19 May 2015)
• Yoshihiro Takami

  IRN YXT00011

  • [FCA CF] Significant management (18 May 2020 to 18 Apr 2023)
  • [PRA CF] Significant risk taker or Material risk taker (21 Feb 2020 to 18 Apr 2023)
  • [FCA CF] Material risk taker (21 Feb 2020 to 18 Apr 2023)
  • [FCA CF] Manager of certification employee (22 May 2018 to 18 Apr 2023)
  • [FCA CF] Client dealing (22 May 2018 to 18 Apr 2023)

No changes recorded yet.