Sumitomo Mitsui Trust International Limited

• Principal Place of Business

  155 Bishopsgate

  London

  EC2M 3XU

  UNITED KINGDOM

  Phone

  +442075628400

  Web

  https://uk.sumitrust-am.com

• Complaints Contact

  155 Bishopsgate

  London

  EC2M 3XU

  UNITED KINGDOM

  Phone

  +442075628400

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, 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), Share, 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.

• 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, 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), Share, 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, 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), Share, 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, 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), Share, 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, 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), Share, 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.

• Manages Your Portfolio

  For Professional, Certificates representing certain security, 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), Share, 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.

• Christopher Renwick

  IRN CXR01119

  • CF30 Customer (22 Oct 2008 to 31 May 2013)
• Daisuke Ishihara

  IRN DXI01064

  • CF30 Customer (1 May 2008 to 14 Nov 2011)
  • CF1 Director (1 May 2008 to 14 Nov 2011)
• Daniel Mulroy

  IRN DXM02420

  • CF30 Customer (11 Apr 2012 to 17 Jul 2018)
• David Cowley

  IRN DXC01732

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 May 2024)
• Hadley Pritchard

  IRN HBP01011

  • CF26 Customer Trading (3 May 2006 to 26 Jan 2007)
• Hideki Sasakawa

  IRN HXS01316

  • CF10a CASS Oversight function (1 Oct 2011 to 8 Mar 2013)
  • CF10 Compliance Oversight (11 Jun 2009 to 8 Mar 2013)
  • CF30 Customer (1 Nov 2007 to 1 Jun 2009)
  • CF1 Director (18 Mar 2005 to 8 Mar 2013)
  • CF26 Customer Trading (18 Mar 2005 to 31 Oct 2007)
• Hikeki Iwakami

  IRN HXI01032

  • CF2 Non Executive Director (1 Dec 2001 to 28 Jun 2002)
• Hiroaki Hirose

  IRN HXH01274

  • SMF9 Chair of the Governing Body (since 3 Oct 2022)
  • Director of firm who is not a certification employee or a SMF manager (29 Jun 2020 to 3 Oct 2022)
  • [FCA CF] Material risk taker (29 Jun 2020 to 30 Jun 2020)
• Hiroaki Jotaki

  IRN HXJ01127

  • CF30 Customer (5 Aug 2013 to 1 Feb 2018)
• Hirofumi Hayashi

  IRN HXH13524

  • [FCA CF] Manager of certification employee (1 Jan 2024 to 2 Mar 2026)
  • [FCA CF] Material risk taker (9 Dec 2019 to 2 Mar 2026)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 10 Dec 2019)
  • [FCA CF] Client dealing (9 Dec 2019 to 2 Mar 2026)
  • CF30 Customer (5 Apr 2019 to 8 Dec 2019)

No changes recorded yet.