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

  Show 3 limitations Hide limitations

  • · 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

  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.

• 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

  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.

• 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.

• Yasushi Iwata

  IRN YXI00007

  • [FCA CF] Client dealing (3 Jul 2018 to 29 Mar 2019)
  • [FCA CF] Manager of certification employee (3 Jul 2018 to 29 Mar 2019)
• Yawar Mazhar

  IRN YXM00009

  • [FCA CF] Client dealing (19 Jan 2018 to 1 Jul 2021)
• Yihuan Chung

  IRN YXC44336

  • [FCA CF] Client dealing (24 Mar 2022 to 13 Dec 2022)
• Ying Hu

  IRN YXP00053

  • [PRA CF] Significant risk taker or Material risk taker (since 7 Oct 2024)
  • [FCA CF] Material risk taker (since 7 Oct 2024)
• Yingying Zhang

  IRN YXZ00003

  • [FCA CF] Manager of certification employee (since 20 May 2019)
  • [FCA CF] Client dealing (since 20 May 2019)
• Yoann Wester

  IRN YXW00002

  • [FCA CF] Client dealing (13 Dec 2017 to 13 Jan 2022)
• Yohei Matsumi

  IRN YXM00063

  • [FCA CF] Client dealing (11 Jul 2022 to 27 Apr 2024)
  • [FCA CF] Manager of certification employee (11 Jul 2022 to 27 Apr 2024)
• Yohei Sakurai

  IRN YXS00104

  • [FCA CF] Client dealing (8 Jun 2023 to 26 Apr 2026)
• Yohsuke Kanakogi

  IRN YXK00079

  • [FCA CF] Manager of certification employee (since 4 Apr 2025)
  • [FCA CF] Client dealing (since 24 May 2024)
• Yoshihiro Takami

  IRN YXT00011

  • [FCA CF] Significant management (18 May 2020 to 18 Apr 2023)
  • [FCA CF] Material risk taker (18 May 2020 to 18 Apr 2023)
  • [PRA CF] Significant risk taker or Material risk taker (18 May 2020 to 18 Apr 2023)
  • [FCA CF] Manager of certification employee (22 May 2018 to 18 Apr 2023)
  • [FCA CF] Client dealing (22 May 2018 to 18 Apr 2023)

No changes recorded yet.