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.

• Stephen Anthony Inkley

  IRN SAI01008

  • CF30 Customer (1 Nov 2007 to 1 Apr 2015)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Stephen Nigel William Jones

  IRN SNJ01010

  • CF30 Customer (1 Nov 2007 to 22 Jan 2009)
  • CF21 Investment Adviser (7 Sep 2004 to 31 Oct 2007)
• Stephen Yeats

  IRN SXY01078

  • CF27 Investment Management (14 Nov 2005 to 8 Feb 2007)
• Steven John Muspratt

  IRN SJM01196

  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (27 Sep 2007 to 31 Oct 2007)
• Sunao Otsuka

  IRN SXO01180

  • CF2 Non Executive Director (17 Jun 2015 to 1 Oct 2015)
  • CF1 Director (31 May 2012 to 17 Jun 2015)
  • CF3 Chief Executive (31 May 2012 to 17 Jun 2015)
  • CF30 Customer (31 May 2012 to 17 Jun 2015)
• Tadashi Sato

  IRN TXS01365

  • CF30 Customer (1 Nov 2007 to 20 Jun 2008)
  • CF10 Compliance Oversight (1 Sep 2006 to 6 Oct 2006)
  • CF11 Money Laundering Reporting (1 Sep 2006 to 6 Oct 2006)
  • CF8 Apportionment and Oversight (16 Sep 2005 to 31 Oct 2007)
  • CF3 Chief Executive (16 Sep 2005 to 20 Jun 2008)
  • CF21 Investment Adviser (25 Jul 2005 to 31 Oct 2007)
  • CF1 Director (26 May 2005 to 20 Jun 2008)
• Taiga Ichikawa

  IRN TXI00052

  • [FCA CF] Client dealing (17 Aug 2023 to 31 Mar 2026)
  • [FCA CF] Material risk taker (17 Aug 2023 to 31 Mar 2026)
• Takahiro Ueno

  IRN TXU07094

  • SMF3 Executive Director (9 Dec 2019 to 23 Jun 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 23 Jun 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 23 Jun 2023)
  • CF30 Customer (25 Jun 2019 to 8 Dec 2019)
  • CF1 Director (1 Nov 2018 to 8 Dec 2019)
• Takenari Suzuki

  IRN TXS03998

  • [FCA CF] Material risk taker (since 8 Aug 2025)
  • Director of firm who is not a certification employee or a SMF manager (since 1 Apr 2024)
• Teresa Cascino

  IRN TXC01349

  • CF30 Customer (1 May 2009 to 4 Aug 2011)

No changes recorded yet.