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.

• Noboru Kawashima

  IRN NXK00036

  • [FCA CF] Client dealing (27 Dec 2017 to 24 Dec 2021)
• Nobuto Saimyoji

  IRN NXS00063

  • [FCA CF] Client dealing (22 Sep 2020 to 26 Jul 2021)
• Nobuyuki Takiguchi

  IRN NXT27445

  • [FCA CF] Manager of certification employee (23 Apr 2019 to 31 Mar 2024)
  • [FCA CF] Significant management (28 Jan 2019 to 31 Mar 2024)
  • [FCA CF] Material risk taker (18 Apr 2018 to 31 Mar 2024)
  • [PRA CF] Significant risk taker or Material risk taker (18 Apr 2018 to 31 Mar 2024)
• Norihito Obata

  IRN NXO00113

  • [FCA CF] Client dealing (since 8 Jul 2025)
  • [PRA CF] Significant risk taker or Material risk taker (since 17 Apr 2025)
  • [FCA CF] Manager of certification employee (since 17 Apr 2025)
  • [FCA CF] Material risk taker (since 17 Apr 2025)
  • [FCA CF] Significant management (since 17 Apr 2025)
• Norio Ohashi

  IRN NXO32571

  • [FCA CF] Material risk taker (9 Feb 2018 to 18 Apr 2019)
  • [FCA CF] Significant management (28 Apr 2016 to 14 Jun 2016)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 18 Apr 2019)
• Oi Yin Wong

  IRN OXW00001

  • [FCA CF] Client dealing (since 16 Jan 2018)
• Oksana Reinhardt

  IRN OXR01032

  • [FCA CF] Client dealing (since 3 Feb 2023)
• Oliver Davidson

  IRN OXD00014

  • [FCA CF] Material risk taker (since 4 Feb 2021)
  • [PRA CF] Significant risk taker or Material risk taker (since 4 Feb 2021)
  • [FCA CF] Manager of certification employee (4 Feb 2021 to 5 Feb 2021)
• Oliver Jackson

  IRN OXJ00047

  • [FCA CF] Client dealing (since 4 Apr 2025)
• Oliver Wilson

  IRN OXW00074

  • [FCA CF] Client dealing (since 13 Dec 2023)

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