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.

• Akihiro Miyake

  IRN AXM00784

  • [FCA CF] Client dealing (30 Apr 2021 to 13 Oct 2022)
• Akihiro Oshima

  IRN AXO00123

  • [FCA CF] Client dealing (since 10 Jun 2021)
  • [FCA CF] Manager of certification employee (since 10 Jun 2021)
• Akihiro Sakurai

  IRN AXS00452

  • [FCA CF] Material risk taker (11 Feb 2021 to 3 Jun 2023)
  • [PRA CF] Significant risk taker or Material risk taker (11 Feb 2021 to 3 Jun 2023)
• Akihiro Sasaki

  IRN AXS03027

  • [PRA CF] Significant risk taker or Material risk taker (since 31 May 2023)
  • [FCA CF] Material risk taker (since 31 May 2023)
• Akiko Kohbayashi

  IRN AXK00093

  • [FCA CF] Client dealing (7 Dec 2017 to 3 Feb 2020)
• Akiko Ozaki

  IRN AXO00039

  • [FCA CF] Client dealing (12 Dec 2018 to 20 Oct 2023)
• Akira Ando

  IRN AXA32567

  • [PRA CF] Significant risk taker or Material risk taker (9 May 2019 to 9 Jul 2020)
  • [FCA CF] Material risk taker (9 May 2019 to 9 Jul 2020)
• Akira Fujiwara

  IRN AXF00442

  • [FCA CF] Significant management (19 Jun 2023 to 9 Apr 2025)
  • [PRA CF] Significant risk taker or Material risk taker (19 Jun 2023 to 9 Apr 2025)
  • [FCA CF] Client dealing (19 Jun 2023 to 9 Apr 2025)
  • [FCA CF] Manager of certification employee (19 Jun 2023 to 9 Apr 2025)
  • [FCA CF] Material risk taker (19 Jun 2023 to 9 Apr 2025)
• Akira Shimoyama

  IRN AXS00230

  • [FCA CF] Client dealing (9 Jul 2018 to 17 Dec 2021)
• Alan Aylett

  IRN AXA00125

  • [FCA CF] Manager of certification employee (9 Mar 2018 to 30 Sep 2025)
  • [FCA CF] Client dealing (19 Jan 2018 to 30 Sep 2025)

No changes recorded yet.