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

  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, 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.

• Guillaume Dufour

  IRN GXD00050

  • [FCA CF] Manager of certification employee (27 Dec 2017 to 4 Feb 2021)
  • [FCA CF] Client dealing (27 Dec 2017 to 4 Feb 2021)
• Guillaume Farges

  IRN GXF00016

  • [FCA CF] Client dealing (6 Aug 2019 to 31 Dec 2020)
• Guillaume Gilles Bouverot

  IRN GGB01028

  • [FCA CF] Client dealing (15 Oct 2019 to 31 Mar 2026)
• Guillaume Verna

  IRN GXV00015

  • [FCA CF] Client dealing (6 Feb 2019 to 27 Jul 2021)
• Guy Stamp

  IRN GXS00076

  • [FCA CF] Client dealing (since 26 Apr 2019)
• Hajime Kimura

  IRN HXK00031

  • [FCA CF] Significant management (7 Jan 2019 to 8 Apr 2019)
  • [FCA CF] Material risk taker (9 Feb 2018 to 8 Apr 2019)
  • [PRA CF] Significant risk taker or Material risk taker (9 Feb 2018 to 8 Apr 2019)
• Hajime Yokohata

  IRN HXY00002

  • [FCA CF] Significant management (15 Apr 2020 to 5 Apr 2022)
  • [FCA CF] Client dealing (15 Apr 2020 to 5 Apr 2022)
  • [FCA CF] Manager of certification employee (15 Apr 2020 to 5 Apr 2022)
  • [FCA CF] Material risk taker (15 Apr 2020 to 5 Apr 2022)
  • [PRA CF] Significant risk taker or Material risk taker (15 Apr 2020 to 5 Apr 2022)
• Hamish Were

  IRN HXW00013

  • [FCA CF] Client dealing (5 Jan 2018 to 23 Jan 2020)
• Han-Jun Nae

  IRN HXN00006

  • [FCA CF] Client dealing (30 May 2018 to 18 Mar 2020)
• Hanako Ashbey

  IRN HXA00329

  • [FCA CF] Client dealing (since 14 Apr 2025)

No changes recorded yet.