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.

• Hiroya Aoyama

  IRN HXA00293

  • [FCA CF] Client dealing (27 Sep 2024 to 31 Mar 2025)
• Hiroyuki Kawamata

  IRN HXK00291

  • [FCA CF] Client dealing (since 3 Feb 2026)
  • [FCA CF] Manager of certification employee (since 3 Feb 2026)
  • [FCA CF] Client dealing (25 Mar 2025 to 31 Mar 2025)
  • [FCA CF] Manager of certification employee (25 Mar 2025 to 31 Mar 2025)
• Hiroyuki Miyahara

  IRN HXM01397

  • CF30 Customer (13 Jan 2011 to 31 Jan 2014)
• Hisato Oiwa

  IRN HXO01151

  • CF1 Director (30 Sep 2014 to 5 Dec 2016)
  • CF30 Customer (6 Aug 2014 to 5 Dec 2016)
• Hitoshi Minami

  IRN HXM01835

  • SMF7 Group Entity Senior Manager (9 Dec 2019 to 4 Mar 2022)
  • CF2 Non Executive Director (10 Sep 2018 to 8 Dec 2019)
• Iain Dominic West

  IRN IDW01024

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Apr 2020)
  • [FCA CF] Significant management (9 Dec 2019 to 30 Apr 2020)
  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Apr 2020)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Apr 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF29 Significant management (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (9 Jun 2004 to 21 Nov 2014)
  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Ian Rodney Gregory

  IRN IRG01024

  • SMF5 Head of Internal Audit (11 Feb 2020 to 1 Sep 2020)
• Ian Willis

  IRN IXW01092

  • [FCA CF] Manager of certification employee (20 Sep 2024 to 21 Jan 2026)
  • [FCA CF] Client dealing (3 Mar 2023 to 21 Jan 2026)
• Indira Oriana Masullo

  IRN IXM00184

  • [FCA CF] Client dealing (18 Oct 2023 to 31 Mar 2025)
• Irina Sfeir

  IRN IXG01170

  • [FCA CF] Manager of certification employee (21 Jul 2021 to 31 Mar 2025)
  • [FCA CF] Client dealing (19 Feb 2021 to 31 Mar 2025)
  • CF30 Customer (14 Nov 2017 to 8 Dec 2019)

No changes recorded yet.