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.

• Ho Man

  IRN HXM01189

  • [FCA CF] Client dealing (12 Jan 2018 to 7 Oct 2020)
• Hong Phuong Vo ep. Hamain

  IRN HXV00005

  • [FCA CF] Manager of certification employee (19 Dec 2019 to 4 Feb 2021)
  • [FCA CF] Client dealing (19 Dec 2019 to 4 Feb 2021)
• Hua-Ling Yu

  IRN HXY00071

  • [FCA CF] Client dealing (since 8 Apr 2026)
• Hugo Muller

  IRN HXM00166

  • [FCA CF] Client dealing (21 Apr 2021 to 24 Jun 2022)
• Hugo Silva

  IRN HXS00388

  • [FCA CF] Client dealing (22 Jun 2023 to 5 Oct 2023)
• Iain Davies

  IRN IXD00030

  • [FCA CF] Client dealing (18 Oct 2019 to 17 Jun 2024)
  • [FCA CF] Manager of certification employee (18 Oct 2019 to 17 Jun 2024)
• Iain Dominic West

  IRN IDW01024

  • [FCA CF] Client dealing (1 Feb 2018 to 30 Apr 2020)
  • [FCA CF] Significant management (1 Feb 2018 to 30 Apr 2020)
  • [PRA CF] Significant risk taker or Material risk taker (1 Feb 2018 to 30 Apr 2020)
  • [FCA CF] Manager of certification employee (1 Feb 2018 to 30 Apr 2020)
  • [FCA CF] Material risk taker (1 Feb 2018 to 30 Apr 2020)
• Ian Feinson

  IRN IMF01017

  • [FCA CF] Client dealing (23 Jan 2020 to 23 Jul 2020)
• Ian Michael Jameson

  IRN IMJ01012

  • [PRA CF] Significant risk taker or Material risk taker (since 31 Aug 2025)
  • [FCA CF] Significant management (since 31 Aug 2025)
  • [FCA CF] Material risk taker (since 31 Aug 2025)
  • SMF3 Executive Director (1 Jun 2025 to 31 Aug 2025)
  • SMF22 Other Local Responsibility (16 May 2018 to 31 Aug 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (27 Oct 2017 to 3 Apr 2018)
  • SMF16 Compliance Oversight (27 Oct 2017 to 3 Apr 2018)
• Ian Rodney Gregory

  IRN IRG01024

  • SMF5 Head of Internal Audit (27 Oct 2017 to 1 Sep 2020)

No changes recorded yet.