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

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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.

• 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.

• Alice Hanratty

  IRN AXH00157

  • [FCA CF] Client dealing (15 Jan 2019 to 11 Sep 2022)
• Alpa Shah

  IRN AXS02613

  • [PRA CF] Significant risk taker or Material risk taker (1 Feb 2022 to 11 Apr 2025)
  • [FCA CF] Significant management (1 Feb 2022 to 11 Apr 2025)
  • [FCA CF] Material risk taker (1 Feb 2022 to 11 Apr 2025)
  • [FCA CF] Manager of certification employee (29 Mar 2021 to 11 Apr 2025)
  • [FCA CF] Client dealing (29 Mar 2021 to 11 Apr 2025)
• Ambika Sharma

  IRN AXS05009

  • [FCA CF] Client dealing (since 9 Oct 2023)
• Amemiya Hiroki

  IRN AXH00531

  • [FCA CF] Client dealing (since 23 Jun 2021)
• Amitav Ghosh

  IRN AXG01533

  • [FCA CF] Manager of certification employee (12 Jan 2018 to 31 Mar 2026)
  • [FCA CF] Client dealing (12 Jan 2018 to 31 Mar 2026)
• Ammar Zulifqar

  IRN AMZ01009

  • [FCA CF] Client dealing (since 16 Oct 2019)
• Andrea Sulprizio

  IRN AXS00232

  • [FCA CF] Manager of certification employee (since 24 Apr 2023)
  • [FCA CF] Client dealing (since 15 Jan 2018)
• Andrew Bradbury

  IRN AXB00230

  • [FCA CF] Client dealing (2 May 2019 to 15 Sep 2019)
• Andrew Burton

  IRN AXB01465

  • [FCA CF] Client dealing (since 27 Mar 2025)
  • [FCA CF] Manager of certification employee (since 27 Mar 2025)
  • [FCA CF] Significant management (since 27 Mar 2025)
• Andrew Green

  IRN AXG00097

  • [FCA CF] Manager of certification employee (11 Jan 2022 to 31 May 2022)
  • [FCA CF] Significant management (30 Jan 2019 to 31 May 2022)
  • [FCA CF] Material risk taker (9 Feb 2018 to 31 May 2022)
  • [PRA CF] Significant risk taker or Material risk taker (9 Feb 2018 to 31 May 2022)

No changes recorded yet.