SMBC Nikko Capital Markets Limited

• Principal Place of Business

  100 Liverpool Street

  London

  London

  EC2M 2AT

  UNITED KINGDOM

  Phone

  +4402045071000

  Web

  https://www.smbcgroup.com/emea/group-companies

• Complaints Contact

  100 Liverpool Street

  London

  EC2M 2AT

  UNITED KINGDOM

  Phone

  +4402045074709

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Binary Bet, 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, Structured Deposits, Unit, Warrant

  Show 2 limitations Hide limitations

  • · When dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
  • · 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, Retail (Investment), Alternative Debenture, Binary Bet, 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, Structured Deposits, Unit, Warrant

  Show 2 limitations Hide limitations

  • · When dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
  • · 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, Retail (Investment), Alternative Debenture, Binary Bet, 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

  Show 2 limitations Hide limitations

  • · When dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
  • · 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, Retail (Investment), Alternative Debenture, Binary Bet, 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, Structured Deposits, Unit, Warrant

  Show 2 limitations Hide limitations

  • · When dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
  • · 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.

• Harry Calenti

  IRN HJC01048

  • [FCA CF] Client dealing (26 Oct 2021 to 31 Mar 2025)
• Haruka Mori

  IRN HXM01708

  • CF30 Customer (8 Dec 2015 to 20 Dec 2016)
• Haruna Kitsu

  IRN HXK01394

  • CF30 Customer (22 Aug 2014 to 19 Oct 2015)
• Hayato Kino

  IRN HXK01125

  • CF30 Customer (1 Oct 2010 to 22 Aug 2018)
• Hayato Muramatsu

  IRN HXM01567

  • CF30 Customer (23 Jun 2014 to 8 Dec 2016)
• Henry Jackson

  IRN HXJ00107

  • [FCA CF] Manager of certification employee (since 8 Oct 2025)
  • [FCA CF] Client dealing (since 23 Nov 2023)
• Hidehiko Suzuki

  IRN HXS00109

  • [FCA CF] Client dealing (28 Oct 2020 to 3 Feb 2024)
  • [FCA CF] Significant management (28 Oct 2020 to 3 Feb 2024)
  • [FCA CF] Manager of certification employee (28 Oct 2020 to 3 Feb 2024)
  • [FCA CF] Material risk taker (28 Oct 2020 to 3 Feb 2024)
• Hideo Kawafune

  IRN HXK01641

  • SMF7 Group Entity Senior Manager (9 Dec 2019 to 31 Mar 2026)
  • CF2 Non Executive Director (4 Jul 2018 to 8 Dec 2019)
• Hideyuki Nakanishi

  IRN HXN06852

  • [FCA CF] Material risk taker (9 Dec 2019 to 4 Mar 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 4 Mar 2022)
  • CF30 Customer (3 Oct 2018 to 8 Dec 2019)
• Hideyuki Takahashi

  IRN HXT01043

  • CF21 Investment Adviser (1 Dec 2001 to 1 Nov 2002)

No changes recorded yet.