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.

• Karan Jain

  IRN KXJ00198

  • [FCA CF] Client dealing (21 Oct 2024 to 22 Jul 2025)
• Kateryna Oplachko

  IRN KXO00018

  • [FCA CF] Client dealing (16 Aug 2018 to 18 Jun 2021)
• Katsufumi Uchida

  IRN KXU01064

  • [FCA CF] Significant management (1 Dec 2017 to 1 Apr 2022)
  • [FCA CF] Material risk taker (1 Dec 2017 to 1 Apr 2022)
  • [FCA CF] Manager of certification employee (1 Dec 2017 to 1 Apr 2022)
  • [FCA CF] Client dealing (1 Dec 2017 to 1 Apr 2022)
  • [PRA CF] Significant risk taker or Material risk taker (1 Dec 2017 to 1 Apr 2022)
• Katsuhiro Kawamoto

  IRN KXK00043

  • [FCA CF] Client dealing (9 Dec 2019 to 6 Jan 2023)
• Katsuhito Kojima

  IRN KXK00045

  • [FCA CF] Client dealing (1 Jun 2018 to 14 Dec 2018)
  • [FCA CF] Manager of certification employee (1 Jun 2018 to 14 Dec 2018)
• Kazuaki Kiri

  IRN KXK00166

  • [FCA CF] Client dealing (20 Aug 2021 to 20 Jul 2024)
  • [FCA CF] Manager of certification employee (20 Aug 2021 to 20 Jul 2024)
• Kazuhei Yamagata

  IRN KXY00009

  • [FCA CF] Client dealing (6 Oct 2020 to 30 Dec 2022)
• Kazuma Nohara

  IRN KXN01367

  • [FCA CF] Client dealing (26 Feb 2018 to 19 May 2023)
• Kazunori Murakami

  IRN KXM00098

  • [FCA CF] Manager of certification employee (13 Dec 2017 to 24 May 2019)
  • [FCA CF] Client dealing (13 Dec 2017 to 24 May 2019)
• Kazuo Yoshimura

  IRN KXY00027

  • [PRA CF] Significant risk taker or Material risk taker (14 Jun 2021 to 5 May 2023)
  • [FCA CF] Client dealing (14 Jun 2021 to 5 May 2023)
  • [FCA CF] Manager of certification employee (14 Jun 2021 to 5 May 2023)
  • [FCA CF] Material risk taker (14 Jun 2021 to 5 May 2023)
  • [FCA CF] Significant management (14 Jun 2021 to 5 May 2023)

No changes recorded yet.