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.

• Kento Furukawa

  IRN KXF00090

  • [FCA CF] Client dealing (13 Apr 2021 to 8 Jun 2022)
• Kento Ibaraki

  IRN KXI01095

  • CF30 Customer (8 Jul 2013 to 8 Jan 2016)
• Kevin Connell

  IRN KMC01060

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

  IRN KJH01049

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2021)
  • CF30 Customer (13 Aug 2013 to 8 Dec 2019)
• Kevin Lauwick-Baumeister

  IRN KXL01510

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Sep 2023)
  • CF30 Customer (19 Dec 2017 to 8 Dec 2019)
• Kevin Lindsay

  IRN KXL21882

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Jan 2020 to 31 Mar 2023)
• Kheiry Sammakieh

  IRN KAS01106

  • [FCA CF] Manager of certification employee (10 Mar 2021 to 31 Mar 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2025)
  • CF30 Customer (13 Sep 2018 to 8 Dec 2019)
• Khuram Shiraz Raja Yousaf

  IRN KSY01001

  • [FCA CF] Manager of certification employee (3 Mar 2025 to 31 Mar 2025)
• Kishan Jatinkumar Modi

  IRN KJM01221

  • [FCA CF] Client dealing (9 Dec 2019 to 2 Oct 2020)
  • CF30 Customer (15 Nov 2016 to 8 Dec 2019)
• Kohei Mitamura

  IRN KXM00490

  • [FCA CF] Significant management (14 Jul 2022 to 31 Mar 2025)
  • [FCA CF] Manager of certification employee (14 Jul 2022 to 31 Mar 2025)
  • [FCA CF] Material risk taker (14 Jul 2022 to 31 Mar 2025)

No changes recorded yet.