Sumitomo Mitsui Trust Bank, Limited

• Principal Place of Business

  155 Bishopsgate

  London

  EC2M 3XU

  UNITED KINGDOM

  Phone

  +4402079457000

  Web

  http://www.smtb.jp

• Complaints Contact

  155 Bishopsgate

  London

  EC2M 3XU

  UNITED KINGDOM

  Phone

  +4402079457000

• Bank Deposits

  For Eligible Counterparty, Professional, Deposit

• Authorised to Operate

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  • · 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, 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

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" 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

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Trades With You Directly

  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

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" 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, 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

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Holds Your Assets

  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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Keiji Tanaka

  IRN KXT01184

  • CF3 Chief Executive (13 Jun 2003 to 1 Jun 2006)
  • CF8 Apportionment and Oversight (13 Jun 2003 to 1 Jun 2006)
• Keisuke Yokomizu

  IRN KXY00038

  • [FCA CF] Client dealing (since 11 Apr 2022)
• Keita Masumoto

  IRN KXM00727

  • [FCA CF] Client dealing (5 Aug 2024 to 29 Jul 2025)
• Keith Robert Evans

  IRN KRE01005

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 29 Jun 2022)
• Ken Otsu

  IRN KXO00152

  • SMF22 Other Local Responsibility (since 20 Sep 2024)
• Ken Takahashi

  IRN KXT00112

  • [FCA CF] Manager of certification employee (30 Mar 2021 to 15 Jan 2026)
  • [FCA CF] Proprietary trader (30 Mar 2021 to 15 Jan 2026)
  • [FCA CF] Material risk taker (30 Mar 2021 to 15 Jan 2026)
• Kensuke Kotani

  IRN KXK00080

  • [FCA CF] Material risk taker (29 Sep 2020 to 21 Apr 2023)
• Kevin Sowerby

  IRN KXS00135

  • [FCA CF] Manager of certification employee (1 Jul 2023 to 31 Mar 2026)
  • [FCA CF] Client dealing (1 Jul 2023 to 31 Mar 2026)
  • [FCA CF] Material risk taker (3 Jan 2018 to 1 Jul 2023)
• Kohei Matsumoto

  IRN KXM47971

  • [FCA CF] Material risk taker (1 Dec 2017 to 3 Mar 2021)
• Kohei Oshima

  IRN KXO00151

  • [FCA CF] Client dealing (since 3 Jun 2024)
  • [FCA CF] Proprietary trader (3 Jun 2024 to 16 Feb 2026)

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