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.

• Hikaru Sato

  IRN HXS00516

  • [FCA CF] Client dealing (12 Nov 2024 to 31 Mar 2025)
• Hirokazu Matsuura

  IRN HXM01639

  • CF30 Customer (12 May 2015 to 13 May 2016)
• Hiroki Kashi

  IRN HXK01361

  • CF30 Customer (1 Nov 2013 to 27 Feb 2015)
• Hiroki Wakahara

  IRN HXW01267

  • CF30 Customer (7 Apr 2016 to 13 Jun 2017)
• Hiroshi Ibaraki

  IRN HXI00044

  • SMF7 Group Entity Senior Manager (since 1 Apr 2026)
• Hiroshi Maeda

  IRN HXM01105

  • CF1 Director (1 Dec 2001 to 10 Jan 2003)
• Hiroshi Maemoto

  IRN HXM00238

  • [FCA CF] Client dealing (11 Feb 2022 to 7 Jun 2024)
• Hiroshi Nakano

  IRN HXN00007

  • [FCA CF] Significant management (18 Jan 2021 to 28 Sep 2023)
  • [FCA CF] Manager of certification employee (18 Jan 2021 to 28 Sep 2023)
  • [FCA CF] Material risk taker (18 Jan 2021 to 28 Sep 2023)
• Hiroshi Terada

  IRN TXH01614

  • [FCA CF] Client dealing (9 Dec 2019 to 25 Mar 2020)
  • [FCA CF] Significant management (9 Dec 2019 to 25 Mar 2020)
  • [FCA CF] Material risk taker (9 Dec 2019 to 25 Mar 2020)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 25 Mar 2020)
  • CF30 Customer (30 Jan 2015 to 8 Dec 2019)
• Hirotaka Kato

  IRN HXK01277

  • CF30 Customer (4 Jul 2011 to 13 Jun 2017)

No changes recorded yet.