Sumitomo Mitsui Banking Corporation, London Branch

• 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

  +4402045071000

• Bank Deposits

  For Eligible Counterparty, Professional, Retail (Investment), Deposit

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  • · The UK branch of the firm is limited to accepting retail deposits from small companies within the meaning of section 381 Companies Act 2006 only and then only up to the following specified limits. (1) Amount: No more than £100 million of transaction or instant access account balances covered by the FSCS; (2) Number of accounts: No more than 5,000 small company accounts. (3) Total potential liability to FSCS: Not to exceed £500 million.
  • · The firm can only agree to carry on the regulated activities specified in this Notice.
  • · The firm is limited to accept wholesale deposits only

• Investment Advice (no pensions)

  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, Structured Deposits, Unit, Warrant

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  • · 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.

• Authorised to Operate

• Arranges Investments

  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, Structured Deposits, Unit, Warrant

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  • · 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.

• Stockbroking

  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, Structured Deposits, Warrant

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  • · 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, 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, Warrant

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  • · 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, 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, 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.

• Caroline Rachel Lytton

  IRN CRS01080

  • [FCA CF] Client dealing (8 Dec 2017 to 17 Mar 2025)
  • [FCA CF] Manager of certification employee (8 Dec 2017 to 17 Mar 2025)
• Caroline Wallis

  IRN CXW00838

  • [FCA CF] Manager of certification employee (since 2 Apr 2026)
  • [FCA CF] Significant management (since 2 Apr 2026)
  • [FCA CF] Material risk taker (since 2 Apr 2026)
  • [PRA CF] Significant risk taker or Material risk taker (since 2 Apr 2026)
• Cassie Rebecca Fisher

  IRN CXF68084

  • [FCA CF] Client dealing (since 23 Jan 2026)
  • [FCA CF] Manager of certification employee (since 23 Jan 2026)
• Catalin Petcu

  IRN CXP01430

  • [FCA CF] Client dealing (17 Apr 2024 to 24 Apr 2026)
• Catherine Razafindralambo

  IRN CXR00077

  • [FCA CF] Client dealing (10 Jan 2020 to 3 Sep 2021)
• Cedric Le Duigou

  IRN CXL00063

  • [FCA CF] Client dealing (5 Jan 2018 to 4 Feb 2021)
• Charles-Fredrik Reineke

  IRN CXR00464

  • [PRA CF] Significant risk taker or Material risk taker (since 29 Aug 2023)
  • [FCA CF] Material risk taker (since 29 Aug 2023)
• Cheuk Ki Li

  IRN CXL00323

  • [FCA CF] Client dealing (since 31 Aug 2022)
• Chie Katsurai

  IRN CXK00028

  • [FCA CF] Client dealing (12 Dec 2018 to 30 Sep 2025)
• Christian Leibl

  IRN CXL01158

  • [FCA CF] Manager of certification employee (since 18 Apr 2019)
  • [FCA CF] Client dealing (since 18 Apr 2019)

No changes recorded yet.