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.

• Malcolm Horton

  IRN MXH00196

  • [PRA CF] Significant risk taker or Material risk taker (11 Apr 2019 to 9 Jul 2019)
  • [FCA CF] Material risk taker (11 Apr 2019 to 9 Jul 2019)
  • [FCA CF] Significant management (11 Apr 2019 to 9 Jul 2019)
• Man Wai Li

  IRN MXL00062

  • [FCA CF] Manager of certification employee (19 Jan 2018 to 31 Mar 2023)
  • [FCA CF] Client dealing (19 Jan 2018 to 31 Mar 2023)
• Marc Guillaume Hubbert Girard de Saint Gerand

  IRN MXG01708

  • [FCA CF] Client dealing (since 18 Apr 2023)
  • [FCA CF] Manager of certification employee (since 18 Apr 2023)
• Marc Mollema

  IRN MXM00196

  • [FCA CF] Manager of certification employee (5 Oct 2018 to 20 Sep 2021)
  • [FCA CF] Client dealing (5 Oct 2018 to 20 Sep 2021)
• Marc-Alexandre Trovo

  IRN MXT00090

  • [FCA CF] Client dealing (22 May 2020 to 22 Nov 2024)
• Marco Finetti

  IRN MXF00074

  • [FCA CF] Client dealing (19 Nov 2018 to 28 Feb 2020)
• Marco Schweer

  IRN MXS00224

  • [FCA CF] Manager of certification employee (14 Jun 2019 to 24 Jun 2022)
  • [FCA CF] Client dealing (15 Dec 2017 to 24 Jun 2022)
• Margaret Stevan

  IRN MXS05068

  • [FCA CF] Client dealing (since 10 Jun 2024)
• Maria von Wrede

  IRN MXV00202

  • [FCA CF] Manager of certification employee (since 7 Jun 2024)
  • [FCA CF] Client dealing (since 7 Jun 2024)
• Mark Clifford

  IRN MXC00179

  • [FCA CF] Client dealing (23 Jun 2020 to 21 Dec 2023)

No changes recorded yet.