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.

• Alaric Douglas Fountain-Barber

  IRN ADF01046

  • [FCA CF] Manager of certification employee (since 23 May 2024)
  • [FCA CF] Client dealing (since 23 May 2024)
• Alban Henri Marie Paul Vital

  IRN AHV01006

  • [FCA CF] Client dealing (5 Jan 2018 to 9 Apr 2021)
  • [FCA CF] Manager of certification employee (5 Jan 2018 to 9 Apr 2021)
• Alessio Botha

  IRN AXB01706

  • [FCA CF] Client dealing (since 14 Sep 2023)
• Alexander Chappell

  IRN AXC02956

  • [FCA CF] Client dealing (since 6 Mar 2018)
• Alexander Mimoun

  IRN AXM01435

  • [FCA CF] Manager of certification employee (24 Oct 2023 to 13 Mar 2026)
  • [FCA CF] Client dealing (6 Jan 2023 to 13 Mar 2026)
• Alexander Petrachkov

  IRN AXP32723

  • [FCA CF] Manager of certification employee (since 4 Feb 2025)
  • [FCA CF] Client dealing (since 30 Apr 2020)
• Alexandre Garel

  IRN AXG00653

  • [FCA CF] Client dealing (30 Sep 2022 to 31 Mar 2026)
• Alexandrina Ghetiu

  IRN AXG01096

  • [FCA CF] Client dealing (since 23 Sep 2025)
• Ali Minhas

  IRN AXM00281

  • [FCA CF] Client dealing (since 29 Jun 2022)
  • [FCA CF] Manager of certification employee (since 29 Jun 2022)
  • [FCA CF] Manager of certification employee (22 Jun 2020 to 15 Jun 2022)
  • [FCA CF] Client dealing (22 Jun 2020 to 15 Jun 2022)
• Ali Rassoulzadegan

  IRN AXR00122

  • [FCA CF] Manager of certification employee (14 Nov 2019 to 18 Sep 2025)
  • [FCA CF] Client dealing (14 Nov 2019 to 18 Sep 2025)

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