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.

• Risa Azehara

  IRN RXA00221

  • [FCA CF] Client dealing (since 6 Aug 2021)
• Rishi Ramdhony

  IRN RXR00296

  • [FCA CF] Client dealing (28 Oct 2022 to 22 Sep 2023)
• Roald Mattijs Scholten

  IRN RXS00643

  • [PRA CF] Significant risk taker or Material risk taker (since 21 Mar 2022)
  • [FCA CF] Material risk taker (since 21 Mar 2022)
• Robert Andrew Hooper

  IRN RAH01286

  • [PRA CF] Significant risk taker or Material risk taker (since 5 Oct 2022)
  • [FCA CF] Manager of certification employee (since 5 Oct 2022)
  • [FCA CF] Material risk taker (since 5 Oct 2022)
  • [FCA CF] Significant management (since 5 Oct 2022)
• Robert Carney

  IRN RDC01109

  • [FCA CF] Client dealing (5 Jan 2018 to 31 Jan 2025)
  • [FCA CF] Manager of certification employee (5 Jan 2018 to 31 Jan 2025)
• Robert Clews

  IRN RXC00134

  • [FCA CF] Manager of certification employee (8 Dec 2017 to 24 May 2021)
  • [FCA CF] Client dealing (8 Dec 2017 to 24 May 2021)
• Robert Michael Kenny

  IRN RXK69080

  • [FCA CF] Manager of certification employee (since 10 Apr 2025)
  • [FCA CF] Client dealing (since 30 Sep 2022)
• Robert Nesbitt

  IRN RXN00043

  • [FCA CF] Client dealing (27 Dec 2017 to 6 Dec 2022)
• Robert Stevenson

  IRN RXS00163

  • [FCA CF] Manager of certification employee (since 25 Jul 2025)
  • [FCA CF] Client dealing (since 12 Jan 2018)
• Ronak Chitroda

  IRN RNC01037

  • [FCA CF] Client dealing (since 10 May 2024)

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