Sumitomo Mitsui DS Asset Management (UK) Limited

• Principal Place of Business

  100 Liverpool Street

  London

  EC2M 2AT

  UNITED KINGDOM

  Phone

  +447534060258

  Web

  http://www.smd-am.co.uk

• Complaints Contact

  100 Liverpool Street

  London

  EC2M 2AT

  UNITED KINGDOM

  Phone

  +4402075076432

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Adam Thackwray

  IRN AXT00091

  • [FCA CF] Material risk taker (since 1 Oct 2025)
  • [FCA CF] Client dealing (since 1 Oct 2025)
  • [FCA CF] Manager of certification employee (since 1 Oct 2025)
• Akihiko Kanamura

  IRN AXK02006

  • CF2 Non Executive Director (11 Apr 2011 to 1 Oct 2013)
• Alan Aylett

  IRN AXA00125

  • [FCA CF] Client dealing (since 1 Oct 2025)
  • [FCA CF] Manager of certification employee (since 1 Oct 2025)
  • [FCA CF] Material risk taker (since 1 Oct 2025)
• Alex Mander

  IRN AXM03723

  • CF30 Customer (9 Jun 2014 to 17 Jun 2015)
• Alexander Barry

  IRN AXB00604

  • [FCA CF] Client dealing (since 2 Apr 2024)
• Alexander Hermann Charles Hack

  IRN AHH01019

  • CF30 Customer (1 Nov 2007 to 31 May 2013)
  • CF27 Investment Management (24 Apr 2007 to 31 Oct 2007)
• Andrew Philip Godson

  IRN APG01059

  • [FCA CF] Client dealing (since 19 Nov 2025)
  • [FCA CF] Significant management (since 19 Nov 2025)
  • [FCA CF] Material risk taker (since 19 Nov 2025)
  • [FCA CF] Manager of certification employee (since 19 Nov 2025)
• Anna Olga Modrzejewska

  IRN AOM01015

  • CF30 Customer (9 Oct 2015 to 3 Jun 2016)
• Anthony Jonathan Hart

  IRN AJH01213

  • CF27 Investment Management (25 Mar 2002 to 19 Aug 2006)
• Armen Noumpar Batsaktzian

  IRN AXB00930

  • [FCA CF] Client dealing (since 1 Oct 2025)

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