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.

• Paul James Willsher

  IRN PJW01119

  • CF30 Customer (1 Nov 2007 to 23 Jun 2009)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Pierre Bruno Eliseo Giannini

  IRN PBG01030

  • CF30 Customer (26 Aug 2016 to 24 Jan 2018)
• Preben Oeye

  IRN PXO01119

  • CF21 Investment Adviser (29 Nov 2004 to 13 Aug 2005)
• Richard Henry Haxe

  IRN RXH00161

  • [FCA CF] Material risk taker (since 8 Aug 2025)
  • [FCA CF] Manager of certification employee (since 18 Aug 2023)
  • [FCA CF] Client dealing (since 18 Aug 2023)
• Richard John Dentith

  IRN RJD01066

  • CF30 Customer (1 Nov 2007 to 29 Dec 2017)
  • CF27 Investment Management (24 Jul 2007 to 31 Oct 2007)
• Richard Patrick Parkin

  IRN RPP01039

  • CF30 Customer (18 May 2009 to 26 Jul 2011)
• Ryosuke Takigawa

  IRN RXT01808

  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Aug 2023)
  • CF30 Customer (23 Oct 2019 to 8 Dec 2019)
• Shinji Ishimaru

  IRN SXI01406

  • CF1 Director (10 Nov 2017 to 21 Oct 2019)
  • CF30 Customer (10 Nov 2017 to 21 Oct 2019)
  • CF3 Chief Executive (10 Nov 2017 to 21 Oct 2019)
• Shunsuke Ichijo

  IRN SXI01056

  • CF2 Non Executive Director (5 Jun 2002 to 11 Apr 2005)
• Shunsuke Nishino

  IRN SXN01121

  • CF21 Investment Adviser (22 Oct 2002 to 16 Sep 2005)
  • CF8 Apportionment and Oversight (7 Oct 2002 to 16 Sep 2005)
  • CF3 Chief Executive (7 Oct 2002 to 16 Sep 2005)

No changes recorded yet.