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.

• Renee Tseng

  IRN RXT00323

  • [FCA CF] Client dealing (2 Dec 2022 to 14 Nov 2025)
• Reuben Dyce

  IRN RXD00318

  • [FCA CF] Client dealing (since 28 Apr 2022)
• Rhona Macpherson

  IRN RMH01064

  • [FCA CF] Client dealing (20 Sep 2021 to 20 Jun 2025)
  • [FCA CF] Manager of certification employee (20 Sep 2021 to 20 Jun 2025)
• Riccardo Pierre

  IRN RXP00469

  • [FCA CF] Client dealing (16 Jan 2023 to 7 Feb 2025)
• Richard Fabien Florent Leray

  IRN RXL00224

  • [FCA CF] Manager of certification employee (since 27 Sep 2024)
  • [FCA CF] Client dealing (since 27 Aug 2021)
• Richard Hall

  IRN RXH01684

  • [FCA CF] Manager of certification employee (7 Feb 2020 to 17 May 2024)
  • [FCA CF] Client dealing (1 Mar 2018 to 17 May 2024)
• Richard John Bowser

  IRN RJB01528

  • [FCA CF] Client dealing (29 Dec 2017 to 22 Dec 2020)
  • [FCA CF] Manager of certification employee (29 Dec 2017 to 22 Dec 2020)
• Richard John Miles

  IRN RJM01197

  • [FCA CF] Significant management (1 Dec 2017 to 8 Oct 2021)
  • [FCA CF] Manager of certification employee (1 Dec 2017 to 31 Mar 2022)
  • [FCA CF] Client dealing (1 Dec 2017 to 31 Mar 2022)
  • [PRA CF] Significant risk taker or Material risk taker (1 Dec 2017 to 31 Mar 2022)
  • [FCA CF] Material risk taker (1 Dec 2017 to 31 Mar 2022)
• Richard Morgan

  IRN RJM01507

  • [FCA CF] Manager of certification employee (since 18 May 2022)
  • [FCA CF] Client dealing (since 19 Dec 2019)
• Ricky Shah

  IRN RJS01480

  • [FCA CF] Manager of certification employee (since 28 Sep 2023)
  • [FCA CF] Client dealing (since 26 Jan 2018)

No changes recorded yet.