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.

• Imtayaz Ahmed

  IRN IXA01100

  • CF27 Investment Management (7 Oct 2003 to 11 Mar 2006)
• Jennifer Sands

  IRN JXS01475

  • [FCA CF] Client dealing (9 Dec 2019 to 7 Nov 2022)
  • CF30 Customer (28 Jun 2019 to 8 Dec 2019)
• John Edward Cutler

  IRN JEC01245

  • SMF16 Compliance Oversight (since 8 Aug 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 8 Aug 2024)
  • [FCA CF] Significant management (since 24 Jul 2024)
• Jordan Curtin

  IRN JXC00219

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

  IRN JXT01543

  • CF10 Compliance Oversight (18 Aug 2010 to 3 Mar 2011)
  • CF11 Money Laundering Reporting (18 Aug 2010 to 3 Mar 2011)
  • CF30 Customer (23 Feb 2009 to 4 Jun 2012)
  • CF3 Chief Executive (20 Jun 2008 to 4 Jun 2012)
  • CF1 Director (13 Jun 2008 to 4 Jun 2012)
• Junya Okada

  IRN JXO18285

  • SMF16 Compliance Oversight (1 Mar 2022 to 10 May 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (1 Mar 2022 to 10 May 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 14 Mar 2023)
  • SMF1 Chief Executive (9 Dec 2019 to 14 Mar 2023)
  • SMF3 Executive Director (9 Dec 2019 to 14 Mar 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 14 Mar 2023)
  • CF30 Customer (17 Oct 2019 to 8 Dec 2019)
  • CF3 Chief Executive (17 Oct 2019 to 8 Dec 2019)
  • CF1 Director (17 Oct 2019 to 8 Dec 2019)
• Katsumi Nishihara

  IRN KXN01170

  • CF29 Significant management (1 Mar 2011 to 26 Feb 2018)
  • CF10 Compliance Oversight (1 Mar 2011 to 26 Feb 2018)
  • CF11 Money Laundering Reporting (1 Mar 2011 to 26 Feb 2018)
• Kazuhiro Yasue

  IRN KXY00071

  • [FCA CF] Material risk taker (since 8 Aug 2025)
• Ken Ho-Yin Kwong

  IRN KHK01015

  • CF30 Customer (2 Apr 2009 to 18 Apr 2015)
• Ken Kangda Wren

  IRN KKW01006

  • CF27 Investment Management (8 Apr 2002 to 30 Mar 2007)

No changes recorded yet.