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

  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.

• Nawaz Haukim

  IRN NXH01220

  • [FCA CF] Manager of certification employee (since 19 Jan 2024)
  • [FCA CF] Client dealing (since 14 Feb 2020)
• Neil Soutar

  IRN NXS00065

  • [FCA CF] Client dealing (12 Dec 2017 to 31 Mar 2025)
  • [FCA CF] Manager of certification employee (12 Dec 2017 to 31 Mar 2025)
• Ngoc Khanh Ngo

  IRN NXN00019

  • [FCA CF] Client dealing (12 Dec 2018 to 28 Apr 2023)
• Nicholas Henry Brailsford Lawson

  IRN NXL01237

  • [FCA CF] Manager of certification employee (since 14 Oct 2024)
  • [FCA CF] Client dealing (since 14 Oct 2024)
• Nicholas James Pheasant

  IRN NJP01068

  • [FCA CF] Manager of certification employee (26 Feb 2018 to 12 Feb 2020)
  • [FCA CF] Client dealing (26 Feb 2018 to 12 Feb 2020)
• Nicholas Jeffrey Gray

  IRN NJG01153

  • [FCA CF] Client dealing (28 Oct 2020 to 10 Aug 2021)
• Nicholas Joseph

  IRN NXJ00017

  • [FCA CF] Client dealing (since 22 Feb 2018)
• Nicholas Paul Clinton

  IRN NPC01042

  • [FCA CF] Manager of certification employee (2 Feb 2018 to 12 Jan 2020)
  • [FCA CF] Client dealing (2 Feb 2018 to 31 Mar 2020)
• Nicholas Paul Grist

  IRN NXG00064

  • [FCA CF] Material risk taker (18 Dec 2020 to 15 Nov 2023)
  • [PRA CF] Significant risk taker or Material risk taker (18 Dec 2020 to 15 Nov 2023)
• Nicholas Sproat

  IRN NXS00067

  • [FCA CF] Client dealing (since 17 Jun 2020)

No changes recorded yet.