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.

• Kunal Patel

  IRN KXP00371

  • [FCA CF] Client dealing (9 Nov 2023 to 27 May 2025)
• Kurando Kataoka

  IRN KXK00042

  • [FCA CF] Client dealing (22 Sep 2020 to 27 May 2022)
  • [FCA CF] Manager of certification employee (22 Sep 2020 to 27 May 2022)
• Kurt Boere

  IRN KXB00477

  • [FCA CF] Client dealing (since 9 Feb 2023)
• Kyota Tanahashi

  IRN KXT00041

  • [FCA CF] Client dealing (13 Dec 2017 to 22 Apr 2022)
• Laughlan Linton Waterston

  IRN LLW01004

  • [FCA CF] Client dealing (since 17 Nov 2023)
  • [FCA CF] Manager of certification employee (since 17 Nov 2023)
  • [FCA CF] Manager of certification employee (8 Dec 2017 to 14 Sep 2020)
  • [FCA CF] Client dealing (8 Dec 2017 to 14 Sep 2020)
• Laureline Pastol

  IRN LXP00045

  • [FCA CF] Client dealing (27 Dec 2017 to 17 Sep 2021)
• Laurence Anderson

  IRN LXA00145

  • [FCA CF] Manager of certification employee (1 Dec 2021 to 31 Oct 2024)
  • [FCA CF] Client dealing (1 Dec 2021 to 31 Oct 2024)
• Laurent Guyonnet

  IRN LXG01079

  • [FCA CF] Client dealing (since 29 Jul 2022)
  • [FCA CF] Manager of certification employee (since 29 Jul 2022)
• Layth Richard Irani

  IRN LRI00003

  • [PRA CF] Significant risk taker or Material risk taker (18 May 2020 to 1 Oct 2025)
  • [FCA CF] Material risk taker (18 May 2020 to 1 Oct 2025)
  • [FCA CF] Significant management (18 May 2020 to 1 Oct 2025)
  • [FCA CF] Manager of certification employee (8 Dec 2017 to 1 Oct 2025)
  • [FCA CF] Client dealing (8 Dec 2017 to 1 Oct 2025)
• Lea Lucie Laura Rocher

  IRN LXR00107

  • [FCA CF] Client dealing (19 Mar 2021 to 2 Mar 2024)

No changes recorded yet.