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.

• John David Thomas

  IRN JDT01084

  • Director of firm who is not a certification employee or a SMF manager (1 Jul 2020 to 31 Dec 2020)
  • SMF7 Group Entity Senior Manager (9 Dec 2019 to 1 Jul 2020)
  • CF2 Non Executive Director (10 Aug 2015 to 8 Dec 2019)
• John Milgate

  IRN JPM01120

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Mar 2025)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Mar 2025)
  • [FCA CF] Significant management (9 Dec 2019 to 31 Mar 2025)
  • CF30 Customer (8 Dec 2014 to 8 Dec 2019)
• John Riley

  IRN JXR01284

  • [FCA CF] Manager of certification employee (20 Mar 2023 to 29 Jan 2026)
  • [FCA CF] Client dealing (9 Dec 2021 to 29 Jan 2026)
  • [FCA CF] Material risk taker (9 Dec 2021 to 21 Feb 2023)
  • CF30 Customer (14 Mar 2014 to 8 Dec 2019)
• John William Hardbattle

  IRN JWH01110

  • CF30 Customer (1 Nov 2007 to 9 Feb 2009)
  • CF21 Investment Adviser (8 Dec 2006 to 31 Oct 2007)
• John de Courcy-Bower

  IRN JSD01120

  • [FCA CF] Client dealing (13 Sep 2021 to 6 Sep 2023)
• Jonathan Allum

  IRN JXA01139

  • [FCA CF] Client dealing (9 Dec 2019 to 5 Nov 2020)
  • CF30 Customer (5 Mar 2013 to 8 Dec 2019)
• Jonathan Davis

  IRN JJD01045

  • [FCA CF] Client dealing (29 Oct 2021 to 11 Nov 2024)
  • [FCA CF] Manager of certification employee (29 Oct 2021 to 11 Nov 2024)
• Jonathan James Falconer

  IRN JJF01063

  • CF11 Money Laundering Reporting (29 Feb 2016 to 8 Sep 2019)
  • CF10 Compliance Oversight (29 Feb 2016 to 8 Sep 2019)
• Jonathan Jenkins

  IRN JXK01447

  • [FCA CF] Manager of certification employee (since 1 Jul 2021)
  • [FCA CF] Client dealing (since 1 Jul 2021)
• Jonathan William Avery

  IRN JWA01026

  • CF28 Systems and controls (1 Nov 2007 to 1 Aug 2017)
  • CF13 Finance (12 Oct 2004 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 22 Oct 2010)

No changes recorded yet.