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.

• Kohei Yamaguchi

  IRN KXY00023

  • [FCA CF] Client dealing (22 Apr 2021 to 6 Feb 2023)
• Koichi Iguchi

  IRN KXI22491

  • [FCA CF] Client dealing (9 Dec 2019 to 19 Feb 2021)
  • CF30 Customer (24 Oct 2019 to 8 Dec 2019)
• Koichi Sato

  IRN KXS02532

  • CF30 Customer (14 Dec 2016 to 17 Jan 2019)
• Koichi Sato

  IRN KXS01899

  • CF30 Customer (20 May 2013 to 5 Aug 2013)
• Kunihiko Takahashi

  IRN KXT00061

  • [FCA CF] Significant management (9 Dec 2019 to 3 Jan 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 3 Jan 2021)
• Kyle Knight

  IRN KXK00388

  • [FCA CF] Client dealing (since 5 Feb 2024)
• Lee Brock

  IRN LXB01139

  • [FCA CF] Client dealing (16 Nov 2021 to 10 Mar 2025)
• Lena Portnoff Salang

  IRN LAP01072

  • [FCA CF] Manager of certification employee (4 Oct 2021 to 3 May 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 3 May 2023)
  • CF30 Customer (14 Feb 2012 to 8 Dec 2019)
• Leo Tong

  IRN LXT00152

  • [FCA CF] Material risk taker (12 Jan 2022 to 31 Mar 2022)
  • [FCA CF] Manager of certification employee (12 Jan 2022 to 31 Mar 2022)
• Long Nguyen

  IRN LXN00013

  • [FCA CF] Client dealing (27 Apr 2022 to 31 Mar 2025)

No changes recorded yet.