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

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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.

• Roger Parr

  IRN RXP01184

  • CF11 Money Laundering Reporting (27 Jun 2006 to 30 Sep 2015)
  • CF15 Internal Audit (1 Dec 2001 to 21 Feb 2006)
• Ryuichi Moriya

  IRN RXM01342

  • CF26 Customer Trading (1 Dec 2001 to 31 Mar 2005)
  • CF1 Director (1 Dec 2001 to 31 Mar 2005)
• Ryutaro Hayashi

  IRN RXH01491

  • CF2 Non Executive Director (6 Feb 2004 to 29 Feb 2008)
• Satoshi Mikihara

  IRN SXM21042

  • SMF16 Compliance Oversight (9 Dec 2019 to 25 Mar 2024)
  • SMF3 Executive Director (9 Dec 2019 to 25 Mar 2024)
  • CF10 Compliance Oversight (21 Nov 2019 to 8 Dec 2019)
  • CF1 Director (21 Nov 2019 to 8 Dec 2019)
• Seigo Kimoto

  IRN SXK01686

  • CF2 Non Executive Director (11 Sep 2009 to 4 Apr 2012)
• Selasi Esi Konu

  IRN SXK00667

  • [FCA CF] CASS oversight function (since 5 Jul 2023)
  • [FCA CF] Material risk taker (since 5 Jul 2023)
• Shigeo Mito

  IRN SXM00523

  • [FCA CF] Manager of certification employee (3 May 2022 to 1 Jan 2024)
  • [FCA CF] Material risk taker (27 Jul 2020 to 11 Dec 2025)
  • [FCA CF] Client dealing (27 Jul 2020 to 11 Dec 2025)
  • [FCA CF] Functions requiring qualifications (27 Jul 2020 to 28 Jul 2020)
• Shin Sawada

  IRN SXS03090

  • CF30 Customer (1 Apr 2013 to 8 Dec 2019)
• Simon Groom

  IRN SXG02252

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 28 Mar 2024)
  • CF11 Money Laundering Reporting (6 Oct 2015 to 8 Dec 2019)
• Sunao Oishi

  IRN SXO01314

  • Director of firm who is not a certification employee or a SMF manager (since 23 Apr 2021)

No changes recorded yet.