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.

• Yoshikazu Ito

  IRN YXI00005

  • [FCA CF] Client dealing (18 Jun 2020 to 28 Apr 2023)
  • [FCA CF] Manager of certification employee (18 Jun 2020 to 28 Apr 2023)
• Yoshimichi Takeshita

  IRN YXT00012

  • [FCA CF] Manager of certification employee (13 Dec 2017 to 18 Apr 2019)
  • [FCA CF] Client dealing (13 Dec 2017 to 18 Apr 2019)
• Yoshitaka Morita

  IRN YXM00012

  • [FCA CF] Client dealing (16 Jan 2018 to 6 Jun 2022)
  • [FCA CF] Manager of certification employee (16 Jan 2018 to 6 Jun 2022)
• Yoshiyuki Morii

  IRN YXM00080

  • [FCA CF] Manager of certification employee (5 Jul 2023 to 19 Apr 2026)
  • [FCA CF] Client dealing (5 Jul 2023 to 19 Apr 2026)
• Yosuke Uemura

  IRN YXU00001

  • [FCA CF] Manager of certification employee (since 24 Jun 2024)
  • [PRA CF] Significant risk taker or Material risk taker (since 24 Jun 2024)
  • [FCA CF] Significant management (since 24 Jun 2024)
  • [FCA CF] Material risk taker (since 24 Jun 2024)
  • [FCA CF] Manager of certification employee (5 Jan 2018 to 17 Aug 2020)
  • [FCA CF] Client dealing (5 Jan 2018 to 17 Aug 2020)
• Young il Han

  IRN YXH00007

  • [FCA CF] Client dealing (21 Mar 2019 to 6 Feb 2026)
• Yousaf Khan

  IRN YXK00009

  • [FCA CF] Client dealing (since 7 Jun 2019)
• Yu Fujii

  IRN YXF00003

  • [FCA CF] Material risk taker (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] Significant management (1 Apr 2022 to 31 Mar 2024)
  • [FCA CF] Manager of certification employee (3 Jun 2019 to 31 Mar 2024)
  • [FCA CF] Client dealing (3 Jun 2019 to 31 Mar 2024)
• Yui Takahashi

  IRN YXT00090

  • [FCA CF] Manager of certification employee (since 15 Apr 2026)
  • [FCA CF] Significant management (since 15 Apr 2026)
  • [PRA CF] Significant risk taker or Material risk taker (since 7 Apr 2026)
  • [FCA CF] Material risk taker (since 7 Apr 2026)
• Yuichiro Iwamoto

  IRN YXI00006

  • [FCA CF] Client dealing (5 Jan 2018 to 5 Aug 2023)

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