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.

• Lorenzo Cavallari

  IRN LXC00413

  • [FCA CF] Client dealing (20 Oct 2022 to 31 Mar 2025)
• Luc Octave Springinsfeld

  IRN LOS01009

  • CF30 Customer (2 Dec 2013 to 29 Jul 2016)
• Luke Shepherdson

  IRN LXS82036

  • [FCA CF] Manager of certification employee (since 13 Feb 2025)
  • [FCA CF] Client dealing (since 15 Dec 2023)
• Luke Spitty

  IRN LXS01554

  • CF30 Customer (15 Feb 2012 to 8 Dec 2019)
• MARTIN SCHROEDER

  IRN MXS02963

  • CF30 Customer (5 Oct 2017 to 8 Dec 2019)
• Magdalena Rajdova

  IRN MXR01347

  • CF30 Customer (1 Nov 2007 to 10 Jan 2013)
  • CF21 Investment Adviser (12 Jun 2002 to 31 Oct 2007)
• Makoto Ito

  IRN MXI01108

  • CF21 Investment Adviser (6 Sep 2005 to 8 Jun 2007)
• Makoto Okumura

  IRN MXO01537

  • CF2 Non Executive Director (7 Oct 2014 to 11 Apr 2016)
• Makoto Tagaya

  IRN MXT01202

  • CF1 Director (12 Nov 2012 to 27 May 2014)
• Manish Peshawaria

  IRN MXP01294

  • [FCA CF] Material risk taker (12 May 2021 to 9 Sep 2022)
  • [FCA CF] Client dealing (14 Sep 2020 to 9 Sep 2022)

No changes recorded yet.