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

  Show 1 limitation Hide limitations

  • · 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.

• David Clapham

  IRN DXC00918

  • [FCA CF] Material risk taker (since 8 Aug 2025)
• David Menachem Felder

  IRN DMF01020

  • CF27 Investment Management (1 Dec 2001 to 21 Jun 2002)
• Dean Edward Heaney

  IRN DEH01093

  • CF30 Customer (9 Mar 2009 to 25 Nov 2010)
• Effrosyni Kontaxaki

  IRN EXK00160

  • SMF16 Compliance Oversight (23 Mar 2023 to 22 Jul 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (23 Mar 2023 to 22 Jul 2024)
• Eiji Fukumuro

  IRN EXF01026

  • CF2 Non Executive Director (23 Nov 2017 to 1 Dec 2018)
  • CF3 Chief Executive (3 Jul 2015 to 23 Nov 2017)
  • CF30 Customer (3 Jul 2015 to 23 Nov 2017)
  • CF1 Director (3 Jul 2015 to 23 Nov 2017)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 1 Sep 2006)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Sep 2006)
  • CF10 Compliance Oversight (1 Dec 2001 to 1 Sep 2006)
• Eisuke Isoda

  IRN EXI01006

  • CF27 Investment Management (1 Dec 2001 to 29 Jul 2003)
• Emir Attig

  IRN EXA01031

  • CF27 Investment Management (1 Dec 2001 to 19 Mar 2005)
• Haruka Inada

  IRN HXI20517

  • CF30 Customer (18 Sep 2019 to 8 Dec 2019)
• Hideomi Ozaki

  IRN HXO07707

  • CF2 Non Executive Director (14 Nov 2018 to 21 Oct 2019)
• Hiroaki Kato

  IRN HXK00267

  • SMF1 Chief Executive (since 2 May 2025)
  • SMF3 Executive Director (since 26 Sep 2024)
  • [FCA CF] Client dealing (since 12 Aug 2024)
  • [FCA CF] Manager of certification employee (since 12 Aug 2024)

No changes recorded yet.