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

  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.

• 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.

• Patricia Roberts

  IRN PAR01087

  • [FCA CF] Manager of certification employee (since 12 Sep 2023)
  • [FCA CF] Client dealing (since 12 Sep 2023)
• Patrick Cogan

  IRN PXC01431

  • [FCA CF] Manager of certification employee (10 Apr 2019 to 26 Sep 2023)
  • [FCA CF] Client dealing (10 Apr 2019 to 26 Sep 2023)
• Paul Abrahams

  IRN PMA01029

  • [FCA CF] Material risk taker (9 Feb 2018 to 30 Jun 2024)
  • [PRA CF] Significant risk taker or Material risk taker (9 Feb 2018 to 30 Jun 2024)
• Paul Burgess

  IRN PCB01105

  • [FCA CF] Manager of certification employee (since 1 Jul 2021)
  • [FCA CF] Client dealing (since 6 Feb 2018)
• Paul Duffy

  IRN PJD01112

  • [FCA CF] Manager of certification employee (12 Jun 2019 to 4 Nov 2024)
  • [FCA CF] Client dealing (9 Oct 2018 to 4 Nov 2024)
• Paul Gibbon

  IRN PDG01066

  • [FCA CF] Significant management (3 Apr 2018 to 31 Jul 2025)
  • [PRA CF] Significant risk taker or Material risk taker (3 Apr 2018 to 31 Jul 2025)
  • [FCA CF] Material risk taker (3 Apr 2018 to 31 Jul 2025)
  • [FCA CF] Client dealing (29 Dec 2017 to 31 Jul 2025)
  • [FCA CF] Manager of certification employee (29 Dec 2017 to 31 Jul 2025)
• Paul Goldman

  IRN PMG01101

  • [FCA CF] Client dealing (since 8 Dec 2017)
  • [FCA CF] Manager of certification employee (14 Jul 2022 to 1 Oct 2025)
• Paul Hodgson-Jones

  IRN PJH01221

  • [FCA CF] Client dealing (26 Jan 2018 to 30 Jun 2023)
• Paul John Graham

  IRN PXG00057

  • [FCA CF] Significant management (28 Jan 2019 to 31 Jan 2019)
  • [FCA CF] Material risk taker (5 Feb 2018 to 31 Jan 2019)
  • [PRA CF] Significant risk taker or Material risk taker (5 Feb 2018 to 31 Jan 2019)
• Paul Lodwick

  IRN PXL80543

  • [FCA CF] Client dealing (5 Apr 2022 to 31 Jan 2025)

No changes recorded yet.