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.

• Alexander Chappell

  IRN AXC02956

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (22 Jun 2015 to 8 Dec 2019)
• Alexandre Avakiants

  IRN AXA01615

  • CF30 Customer (24 Aug 2016 to 30 Sep 2018)
• Alice Hanratty

  IRN AXH00157

  • [FCA CF] Client dealing (12 Sep 2022 to 31 Mar 2025)
• Amanda Averland

  IRN AXA00504

  • [FCA CF] Client dealing (26 Nov 2021 to 31 Mar 2025)
• Amitav Ghosh

  IRN AXG01533

  • [FCA CF] Manager of certification employee (1 Jul 2021 to 31 Mar 2025)
  • [FCA CF] Client dealing (1 Jul 2021 to 31 Mar 2025)
• Ana Chisacof

  IRN AXC02261

  • CF30 Customer (10 Jul 2019 to 4 Sep 2019)
• Andre Manuel Serodio Lamego

  IRN AML01214

  • [FCA CF] Client dealing (9 Dec 2019 to 26 Jul 2022)
  • CF30 Customer (2 Dec 2017 to 8 Dec 2019)
• Andrew Burton

  IRN AXB01465

  • [FCA CF] Client dealing (27 Mar 2025 to 31 Mar 2025)
  • [FCA CF] Significant management (27 Mar 2025 to 31 Mar 2025)
  • [FCA CF] Manager of certification employee (27 Mar 2025 to 31 Mar 2025)
• Andrew George William Willett

  IRN AGW01060

  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 7 Jun 2002)
  • CF21 Investment Adviser (1 Dec 2001 to 7 Jun 2002)
• Andrew Green

  IRN AXG00097

  • [FCA CF] Significant management (11 Jan 2022 to 31 May 2022)
  • [FCA CF] Manager of certification employee (11 Jan 2022 to 31 May 2022)

No changes recorded yet.