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.

• Shinichiro Nishino

  IRN SXN00049

  • [FCA CF] Significant management (1 Apr 2022 to 31 Mar 2024)
  • [PRA CF] Significant risk taker or Material risk taker (1 Apr 2022 to 31 Mar 2024)
  • [FCA CF] Material risk taker (1 Apr 2022 to 31 Mar 2024)
  • [FCA CF] Client dealing (3 Apr 2018 to 18 Apr 2019)
  • [FCA CF] Manager of certification employee (9 Feb 2018 to 18 Apr 2019)
• Shinjiro Sadakuni

  IRN SXS00204

  • [FCA CF] Manager of certification employee (18 Apr 2019 to 15 Apr 2022)
  • [FCA CF] Client dealing (4 Jun 2018 to 15 Apr 2022)
• Shinsuke Kurata

  IRN SXK00779

  • [PRA CF] Significant risk taker or Material risk taker (since 1 Apr 2024)
  • [FCA CF] Manager of certification employee (since 1 Apr 2024)
  • [FCA CF] Material risk taker (since 1 Apr 2024)
  • [FCA CF] Significant management (since 1 Apr 2024)
• Shinsuke Matsuura

  IRN SXM00209

  • [FCA CF] Material risk taker (18 Jun 2020 to 31 Mar 2024)
  • [FCA CF] Significant management (18 Jun 2020 to 31 Mar 2024)
  • [PRA CF] Significant risk taker or Material risk taker (18 Jun 2020 to 31 Mar 2024)
  • [FCA CF] Client dealing (8 May 2018 to 31 Mar 2024)
  • [FCA CF] Manager of certification employee (8 May 2018 to 31 Mar 2024)
• Shinya Mizutani

  IRN SXM04689

  • [FCA CF] Client dealing (since 3 Mar 2025)
• Sho Harada

  IRN SXH01452

  • [FCA CF] Client dealing (since 7 Apr 2025)
• Shogo Aoki

  IRN SXA00132

  • [FCA CF] Client dealing (11 Sep 2020 to 12 May 2023)
• Shohei Kaneko

  IRN SXK03017

  • [FCA CF] Client dealing (2 Nov 2018 to 25 Sep 2020)
• Shuma Enomoto

  IRN SXE00255

  • [FCA CF] Client dealing (21 Jun 2023 to 1 Dec 2023)
• Shumin Cao

  IRN SXC00753

  • [FCA CF] Client dealing (7 Mar 2022 to 31 Oct 2025)

No changes recorded yet.