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.

• Shashwat Gupta

  IRN SXG00733

  • [FCA CF] Client dealing (5 Oct 2023 to 31 Dec 2025)
• Sheel Sumit

  IRN SXS03173

  • [FCA CF] Manager of certification employee (since 5 Nov 2025)
  • [FCA CF] Client dealing (since 2 Feb 2018)
• Shehzad Haq

  IRN SXH00164

  • [FCA CF] Manager of certification employee (8 Dec 2017 to 28 Feb 2023)
  • [FCA CF] Client dealing (8 Dec 2017 to 28 Feb 2023)
• Sheila Cork

  IRN SXC00189

  • [FCA CF] Significant management (7 Jan 2019 to 1 Jul 2020)
  • [FCA CF] Material risk taker (12 Feb 2018 to 1 Jul 2020)
  • [PRA CF] Significant risk taker or Material risk taker (12 Feb 2018 to 1 Jul 2020)
• Shelley De Souza

  IRN SXD00124

  • [FCA CF] Client dealing (15 Dec 2017 to 31 Oct 2022)
• Shigeki Taniguchi

  IRN SXT32566

  • [PRA CF] Significant risk taker or Material risk taker (12 Feb 2018 to 12 Feb 2021)
  • [FCA CF] Material risk taker (12 Feb 2018 to 12 Feb 2021)
• Shin Aota

  IRN SXA00501

  • [FCA CF] Manager of certification employee (since 17 Dec 2021)
  • [FCA CF] Client dealing (since 17 Dec 2021)
• Shingo Fukuda

  IRN SXF00415

  • [FCA CF] Client dealing (20 Jun 2023 to 4 May 2025)
• Shinichi Nakatani

  IRN SXN00047

  • [FCA CF] Manager of certification employee (29 Dec 2017 to 31 Jan 2023)
  • [FCA CF] Client dealing (29 Dec 2017 to 31 Jan 2023)
• Shinichi Okamoto

  IRN SXO00038

  • [FCA CF] Significant management (28 Jan 2019 to 1 Oct 2021)
  • [FCA CF] Manager of certification employee (3 Apr 2018 to 1 Oct 2021)
  • [PRA CF] Significant risk taker or Material risk taker (2 Feb 2018 to 1 Oct 2021)
  • [FCA CF] Material risk taker (2 Feb 2018 to 1 Oct 2021)

No changes recorded yet.