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.

• Maria Francisca Turner

  IRN MFT01025

  • SMF11 Chair of the Audit Committee (since 1 Jan 2025)
  • SMF10 Chair of the Risk Committee (since 21 Jan 2021)
• Maria Hashimoto

  IRN MXH03196

  • [FCA CF] Client dealing (9 Dec 2019 to 23 Jun 2022)
  • CF30 Customer (9 Dec 2017 to 8 Dec 2019)
• Maria Sbarbati

  IRN MXS01310

  • [FCA CF] Client dealing (23 May 2023 to 31 Mar 2025)
• Mariko Kawasaki

  IRN MXK15538

  • [FCA CF] Client dealing (9 Dec 2019 to 6 Sep 2021)
  • CF30 Customer (30 May 2019 to 8 Dec 2019)
• Mario Dorflinger

  IRN MXD02454

  • CF30 Customer (5 Aug 2015 to 15 Sep 2017)
• Marko Milos

  IRN MXM01499

  • [FCA CF] Material risk taker (1 Jul 2024 to 31 Mar 2025)
  • [FCA CF] Client dealing (16 Jun 2023 to 31 Mar 2025)
  • [FCA CF] Manager of certification employee (16 Jun 2023 to 31 Mar 2025)
• Martin Coulson

  IRN MXC00231

  • SMF5 Head of Internal Audit (since 1 Sep 2020)
• Martin Hudak

  IRN MXH52711

  • [FCA CF] Client dealing (3 Mar 2023 to 25 Feb 2025)
• Masaaki Shinoda

  IRN MXS04315

  • CF30 Customer (16 Dec 2015 to 3 Dec 2018)
• Masahiko Oshima

  IRN MXO01488

  • CF2 Non Executive Director (18 Nov 2014 to 18 Oct 2016)
  • CF1 Director (14 Mar 2014 to 18 Nov 2014)

No changes recorded yet.