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.

• Jose De Yermo

  IRN JXD01281

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2020)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Dec 2020)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2020)
  • CF30 Customer (3 Jun 2013 to 8 Dec 2019)
• Joseph Bailey

  IRN JWB01168

  • [FCA CF] Client dealing (9 Dec 2019 to 17 May 2024)
  • CF30 Customer (5 Mar 2019 to 8 Dec 2019)
• Joseph Leo Brennan

  IRN JLB01068

  • CF1 Director (1 Dec 2001 to 4 Mar 2002)
• Joseph Paul Hicks

  IRN JPH01125

  • CF30 Customer (1 Nov 2007 to 1 Jul 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Joseph Plank

  IRN JXP00126

  • [FCA CF] Manager of certification employee (1 Jul 2021 to 19 Oct 2021)
  • [FCA CF] Client dealing (1 Jul 2021 to 19 Oct 2021)
• Joseph Rondinella

  IRN JXR00160

  • [FCA CF] Material risk taker (9 Dec 2019 to 21 Nov 2022)
• Joseph Xavier Gregory Aylward

  IRN JXA00300

  • [FCA CF] Client dealing (30 Jul 2021 to 17 May 2024)
• Joshua Bright

  IRN JXB00030

  • [FCA CF] Client dealing (25 Feb 2021 to 31 Mar 2025)
• Joshua Presley

  IRN JPP01082

  • [FCA CF] Material risk taker (7 Nov 2023 to 31 Mar 2025)
  • [FCA CF] Significant management (7 Nov 2023 to 31 Mar 2025)
  • [FCA CF] Client dealing (7 Nov 2023 to 31 Mar 2025)
  • [FCA CF] Manager of certification employee (7 Nov 2023 to 31 Mar 2025)
• Joshua Thaminder Cheema

  IRN JTC01067

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2021)
  • CF30 Customer (27 Oct 2014 to 8 Dec 2019)

No changes recorded yet.