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.

• Takara Ohori

  IRN TXO00130

  • [FCA CF] Manager of certification employee (since 1 Apr 2024)
  • [FCA CF] Client dealing (since 1 Apr 2024)
  • [FCA CF] Material risk taker (since 1 Apr 2024)
  • [FCA CF] Significant management (since 1 Apr 2024)
  • [PRA CF] Significant risk taker or Material risk taker (since 1 Apr 2024)
• Takashi Yamaguchi

  IRN TXY00017

  • [FCA CF] Client dealing (9 Jun 2021 to 28 Apr 2023)
  • [FCA CF] Manager of certification employee (9 Jun 2021 to 28 Apr 2023)
• Takashi Yokoyama

  IRN TXY00008

  • [FCA CF] Client dealing (24 May 2018 to 27 Apr 2020)
• Takehisa Manabe

  IRN TXM00259

  • [FCA CF] Significant management (11 Apr 2023 to 30 May 2025)
  • [PRA CF] Significant risk taker or Material risk taker (14 Apr 2022 to 30 May 2025)
  • [FCA CF] Material risk taker (14 Apr 2022 to 30 May 2025)
  • [FCA CF] Manager of certification employee (27 May 2021 to 30 May 2025)
  • [FCA CF] Client dealing (27 May 2021 to 30 May 2025)
• Takero Ubukata

  IRN TXU00005

  • [FCA CF] Material risk taker (since 1 Apr 2024)
  • [FCA CF] Significant management (since 1 Apr 2024)
  • [PRA CF] Significant risk taker or Material risk taker (since 1 Apr 2024)
  • [FCA CF] Client dealing (since 8 Jun 2021)
  • [FCA CF] Manager of certification employee (since 8 Jun 2021)
• Takeshi Sokai

  IRN TXS03517

  • [FCA CF] Material risk taker (24 Jun 2019 to 11 Dec 2021)
  • [FCA CF] Significant management (24 Jun 2019 to 11 Dec 2021)
  • [PRA CF] Significant risk taker or Material risk taker (24 Jun 2019 to 11 Dec 2021)
• Taku Hosoya

  IRN TXH00508

  • [FCA CF] Client dealing (since 3 Jul 2025)
  • [FCA CF] Manager of certification employee (since 7 Apr 2025)
  • [FCA CF] Material risk taker (since 7 Apr 2025)
  • [FCA CF] Significant management (since 7 Apr 2025)
  • [PRA CF] Significant risk taker or Material risk taker (since 7 Apr 2025)
• Taku Kimura

  IRN TXK00040

  • [FCA CF] Manager of certification employee (8 Dec 2017 to 1 Apr 2022)
  • [FCA CF] Client dealing (8 Dec 2017 to 1 Apr 2022)
• Takuma Muroi

  IRN TXM00115

  • [FCA CF] Manager of certification employee (1 Dec 2020 to 30 May 2025)
• Takuya Ito

  IRN TXI00036

  • [FCA CF] Client dealing (1 Jul 2022 to 16 May 2024)

No changes recorded yet.