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.

• Thomas Cartwright

  IRN TXC00455

  • [FCA CF] Client dealing (since 21 Oct 2024)
• Trevor Charles Langford

  IRN TCL01016

  • CF30 Customer (1 Nov 2007 to 20 May 2014)
  • CF21 Investment Adviser (19 Dec 2005 to 31 Oct 2007)
• Tsuyoshi Imai

  IRN TXI00017

  • Director of firm who is not a certification employee or a SMF manager (1 Apr 2021 to 29 Mar 2024)
• Vincent Jen-Ho Chung

  IRN VXC00104

  • [FCA CF] Client dealing (10 Oct 2022 to 30 Sep 2025)
• Yoshitaka Aikawa

  IRN YXA01126

  • CF30 Customer (21 Sep 2009 to 14 Sep 2011)
• Yuhki Sophia King

  IRN YXK01193

  • CF30 Customer (18 Sep 2014 to 14 Aug 2018)
• Yuichi Kohashi

  IRN YXK01018

  • CF3 Chief Executive (1 Dec 2001 to 6 Oct 2002)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 6 Oct 2002)
• Yuichiro Ito

  IRN YXI01046

  • CF29 Significant management (1 Nov 2007 to 18 Aug 2010)
  • CF10 Compliance Oversight (6 Oct 2006 to 18 Aug 2010)
  • CF11 Money Laundering Reporting (6 Oct 2006 to 18 Aug 2010)
  • CF19 Significant Mgt (Financial Resources) (6 Oct 2006 to 31 Oct 2007)
• Yuk-Lung Chan

  IRN YXC01128

  • CF30 Customer (24 Apr 2015 to 4 Aug 2016)

No changes recorded yet.