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

  Show 3 limitations Hide limitations

  • · 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

  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.

• 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

  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.

• 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.

• John Collins

  IRN JXC01501

  • [FCA CF] Client dealing (20 May 2024 to 4 Nov 2024)
  • [FCA CF] Manager of certification employee (20 May 2024 to 4 Nov 2024)
• John David Thomas

  IRN JDT01084

  • [FCA CF] Significant management (28 Jan 2019 to 31 Jul 2020)
  • [FCA CF] Manager of certification employee (28 Mar 2018 to 31 Jul 2020)
  • [FCA CF] Material risk taker (28 Mar 2018 to 31 Jul 2020)
  • [PRA CF] Significant risk taker or Material risk taker (28 Mar 2018 to 31 Jul 2020)
• John Ellis

  IRN JXE00338

  • [FCA CF] Manager of certification employee (since 20 May 2024)
  • [FCA CF] Client dealing (since 20 May 2024)
• John Nash

  IRN JXN00043

  • [FCA CF] Client dealing (27 Dec 2017 to 25 Oct 2020)
  • [FCA CF] Manager of certification employee (27 Dec 2017 to 25 Oct 2020)
• John de Courcy-Bower

  IRN JSD01120

  • [FCA CF] Client dealing (13 Sep 2021 to 6 Sep 2023)
• Jonathan Ainsworth

  IRN JXA00073

  • [FCA CF] Client dealing (15 Dec 2017 to 30 Dec 2018)
• Jonathan Davis

  IRN JJD01045

  • [FCA CF] Manager of certification employee (9 Jan 2019 to 11 Nov 2024)
  • [FCA CF] Client dealing (9 Jan 2019 to 11 Nov 2024)
• Jonathan Jenkins

  IRN JXK01447

  • [FCA CF] Client dealing (since 14 Dec 2017)
  • [FCA CF] Manager of certification employee (since 14 Dec 2017)
• Jonathan Joseph-Horne

  IRN JXJ01091

  • [PRA CF] Significant risk taker or Material risk taker (since 1 May 2024)
  • [FCA CF] Material risk taker (since 1 May 2024)
  • [FCA CF] Significant management (since 1 May 2024)
  • [FCA CF] Manager of certification employee (since 16 Jan 2018)
  • [FCA CF] Client dealing (since 16 Jan 2018)
• Jonathan Richard Eifion-Jones

  IRN JRE01041

  • [FCA CF] Manager of certification employee (7 May 2020 to 31 Dec 2022)
  • [FCA CF] Significant management (21 Dec 2018 to 31 Dec 2022)
  • [PRA CF] Significant risk taker or Material risk taker (12 Feb 2018 to 31 Dec 2022)
  • [FCA CF] Material risk taker (12 Feb 2018 to 31 Dec 2022)

No changes recorded yet.