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.

• Ramesh Yesodharan

  IRN RXY01064

  • [FCA CF] Manager of certification employee (since 1 Jul 2023)
  • [FCA CF] Client dealing (since 1 Jul 2023)
  • [FCA CF] Material risk taker (7 Mar 2016 to 1 Jul 2023)
  • CF29 Significant management (10 Mar 2010 to 6 Mar 2016)
• Richard Ashton

  IRN RXA00452

  • [FCA CF] Material risk taker (since 1 Jul 2024)
  • [FCA CF] Manager of certification employee (since 1 Jul 2024)
  • [FCA CF] Client dealing (since 1 Nov 2023)
• Richard John Palmer

  IRN RJP01139

  • [FCA CF] Client dealing (since 1 Jul 2023)
  • [FCA CF] Manager of certification employee (since 1 Jul 2023)
  • [FCA CF] Material risk taker (since 1 Nov 2018)
• Richard Willcocks

  IRN RXW01913

  • SMF22 Other Local Responsibility (since 29 Oct 2020)
• Riro Sato

  IRN RXS03212

  • SMF19 Head of Overseas Branch/Head of Overseas (20 Feb 2017 to 11 Mar 2020)
• Rissei Nagae

  IRN RXN47973

  • [FCA CF] Material risk taker (29 Jun 2017 to 10 Dec 2021)
• Robert Parkinson

  IRN RXP00137

  • [PRA CF] Significant risk taker or Material risk taker (since 1 Jul 2023)
  • [FCA CF] Material risk taker (1 Nov 2016 to 1 Jul 2023)
• Ryan Hammacott

  IRN RXH00177

  • [FCA CF] Material risk taker (3 Feb 2020 to 17 Aug 2022)
• Ryan Luggah

  IRN RXL00225

  • [FCA CF] Client dealing (since 23 Aug 2021)
• Ryo Hagiwara

  IRN RXH47968

  • [FCA CF] Proprietary trader (3 Jul 2018 to 12 Apr 2023)

No changes recorded yet.