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

  Show 1 limitation Hide limitations

  • · 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.

• Simon Wicks

  IRN SXW00194

  • [FCA CF] Client dealing (since 1 Jul 2023)
  • [FCA CF] Material risk taker (1 Dec 2017 to 1 Jul 2023)
• Sohail Nassiri

  IRN SXN01172

  • [FCA CF] Client dealing (since 1 Jul 2024)
  • [FCA CF] Manager of certification employee (since 1 Jul 2023)
  • [FCA CF] Material risk taker (since 18 Nov 2019)
• Stephane Teyssieux

  IRN SXT00142

  • [FCA CF] Client dealing (1 Jul 2023 to 16 Jan 2026)
  • [FCA CF] Material risk taker (1 Dec 2017 to 1 Jul 2023)
• Stephen Chennells

  IRN SXC02416

  • [PRA CF] Significant risk taker or Material risk taker (since 1 Jul 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 1 Jul 2023)
• Stephen Spellacey

  IRN SXS00332

  • [PRA CF] Significant risk taker or Material risk taker (1 Jul 2023 to 30 Jun 2025)
  • [FCA CF] Material risk taker (7 Mar 2016 to 1 Jul 2023)
• Steven Scrace

  IRN SXS04387

  • [FCA CF] Client dealing (since 1 Jul 2023)
  • [FCA CF] Proprietary trader (since 7 Mar 2016)
  • CF30 Customer (7 Dec 2015 to 6 Mar 2016)
• Suraj Suri

  IRN SXS02771

  • [FCA CF] Client dealing (5 Jun 2023 to 25 Jun 2024)
• TOSHIYA FUJIWARA

  IRN TXF01240

  • SMF4 Chief Risk (7 Mar 2016 to 16 Dec 2016)
  • CF28 Systems and controls (16 Sep 2015 to 6 Mar 2016)
• Takaaki Sasaki

  IRN TXS03543

  • [FCA CF] Material risk taker (1 Jul 2019 to 22 Sep 2021)
• Takashi Danjo

  IRN TXD00064

  • [FCA CF] Material risk taker (29 Oct 2018 to 28 Sep 2023)

No changes recorded yet.