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.

• James Peter Bates

  IRN JPB01259

  • [FCA CF] Manager of certification employee (since 7 Apr 2021)
  • [FCA CF] Client dealing (since 12 Jan 2018)
• James Seadon

  IRN JXS00166

  • [FCA CF] Client dealing (since 5 Jan 2018)
• James Swann

  IRN JXS55434

  • [FCA CF] Client dealing (since 18 Sep 2025)
• James White

  IRN JXW00153

  • [FCA CF] Manager of certification employee (10 Mar 2021 to 23 Sep 2022)
  • [FCA CF] Client dealing (8 Dec 2017 to 23 Sep 2022)
• Jamie Smyth

  IRN JXS02117

  • [FCA CF] Client dealing (14 Dec 2017 to 13 Nov 2024)
  • [FCA CF] Manager of certification employee (14 Dec 2017 to 13 Nov 2024)
• Jan Bausch

  IRN JXB00211

  • [FCA CF] Manager of certification employee (8 Dec 2017 to 29 Mar 2019)
  • [FCA CF] Client dealing (8 Dec 2017 to 29 Mar 2019)
• Jane Denise Regan

  IRN JDR01122

  • [FCA CF] Significant management (since 2 Jan 2025)
  • [FCA CF] Material risk taker (since 30 Dec 2024)
  • [PRA CF] Significant risk taker or Material risk taker (since 30 Dec 2024)
• Jane Maria Sethi

  IRN JXS00168

  • [PRA CF] Significant risk taker or Material risk taker (since 1 Jul 2020)
  • [FCA CF] Significant management (since 1 Jul 2020)
  • [FCA CF] Material risk taker (since 1 Jul 2020)
  • [FCA CF] Manager of certification employee (since 1 Jul 2020)
• Jaouhar Bani

  IRN JXB02236

  • [FCA CF] Client dealing (since 5 Nov 2019)
  • [FCA CF] Client dealing (2 Nov 2018 to 1 Nov 2019)
• Javed Hussain

  IRN JXH01330

  • [FCA CF] Client dealing (7 Jul 2025 to 5 Mar 2026)

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