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.

• Mark Crawley

  IRN MAC01156

  • [FCA CF] Material risk taker (1 Apr 2022 to 30 Jan 2025)
  • [PRA CF] Significant risk taker or Material risk taker (1 Apr 2022 to 30 Jan 2025)
  • [FCA CF] Significant management (1 Apr 2022 to 30 Jan 2025)
  • [FCA CF] Manager of certification employee (22 May 2018 to 30 Jan 2025)
  • [FCA CF] Client dealing (22 May 2018 to 30 Jan 2025)
• Mark Paul Pollard

  IRN MPP01069

  • [FCA CF] Client dealing (27 Dec 2017 to 25 Sep 2025)
  • [FCA CF] Manager of certification employee (27 Dec 2017 to 25 Sep 2025)
• Mark Pegrum

  IRN MXP02105

  • [FCA CF] Client dealing (since 9 Sep 2021)
  • [FCA CF] Manager of certification employee (since 9 Sep 2021)
• Mark Wrightson

  IRN MXW00120

  • [FCA CF] Manager of certification employee (since 12 Jan 2018)
  • [FCA CF] Client dealing (since 12 Jan 2018)
• Markus Voeste

  IRN MXV00024

  • [FCA CF] Client dealing (19 Nov 2018 to 27 Aug 2021)
• Marta Meloni

  IRN MXM02032

  • [FCA CF] Client dealing (1 May 2024 to 31 Mar 2026)
• Martin Coulson

  IRN MXC00231

  • SMF5 Head of Internal Audit (since 1 Sep 2020)
• Martin Forman

  IRN MXF00352

  • [FCA CF] Client dealing (since 1 Jul 2022)
• Martin Kennedy

  IRN MXK00110

  • [FCA CF] Material risk taker (since 7 Oct 2024)
  • [PRA CF] Significant risk taker or Material risk taker (since 7 Oct 2024)
  • [FCA CF] Client dealing (since 7 Dec 2017)
  • [FCA CF] Manager of certification employee (since 7 Dec 2017)
• Masaaki Komatsu

  IRN MXK00418

  • [FCA CF] Material risk taker (since 13 May 2024)
  • [PRA CF] Significant risk taker or Material risk taker (since 13 May 2024)
  • [FCA CF] Significant management (since 8 Nov 2021)
  • [FCA CF] Manager of certification employee (8 Nov 2021 to 9 May 2025)

No changes recorded yet.