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

  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.

• 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.

• Jack Watson

  IRN JXW01281

  • [PRA CF] Significant risk taker or Material risk taker (since 1 Jun 2025)
  • [FCA CF] Material risk taker (since 1 Jun 2025)
• Jackson Gregory Flint

  IRN JXF55392

  • [FCA CF] Client dealing (since 16 Jul 2024)
• James Abbot

  IRN JXA00137

  • [FCA CF] Client dealing (since 10 Jul 2025)
• James Burkill

  IRN JXB03834

  • [FCA CF] Client dealing (since 23 Jul 2024)
• James Burnett

  IRN JXB00220

  • [FCA CF] Client dealing (since 27 Dec 2017)
  • [FCA CF] Manager of certification employee (since 27 Dec 2017)
• James Donald Hastings Fenner

  IRN JDF01047

  • [FCA CF] Client dealing (1 Dec 2017 to 30 Jun 2024)
  • [PRA CF] Significant risk taker or Material risk taker (1 Dec 2017 to 30 Jun 2024)
  • [FCA CF] Significant management (1 Dec 2017 to 30 Jun 2024)
  • [FCA CF] Material risk taker (1 Dec 2017 to 30 Jun 2024)
  • [FCA CF] Manager of certification employee (1 Dec 2017 to 30 Jun 2024)
• James Hadden Lowrey

  IRN JXL00736

  • [FCA CF] Manager of certification employee (20 Nov 2023 to 31 Jan 2025)
  • [FCA CF] Client dealing (20 Nov 2023 to 31 Jan 2025)
• James Inglis

  IRN JRI00007

  • [FCA CF] Manager of certification employee (since 1 Jul 2022)
  • [FCA CF] Significant management (since 1 Jul 2022)
  • [FCA CF] Material risk taker (since 1 Jun 2020)
  • [PRA CF] Significant risk taker or Material risk taker (since 1 Jun 2020)
• James Lock

  IRN JXL00116

  • [FCA CF] Client dealing (since 27 Dec 2017)
• James Osbiston

  IRN JXO00321

  • [FCA CF] Client dealing (since 28 Jan 2025)

No changes recorded yet.