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.

• Masahiro Tsuji

  IRN MXT00093

  • [FCA CF] Client dealing (1 Jul 2021 to 5 Oct 2021)
• Masahito Nonaka

  IRN MXN01446

  • CF30 Customer (16 Nov 2010 to 16 Aug 2019)
• Masao Igarashi

  IRN MXI01169

  • CF30 Customer (6 Dec 2010 to 18 Nov 2019)
• Masashi Hori

  IRN HXM01292

  • [FCA CF] Client dealing (9 Dec 2021 to 26 May 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2021 to 26 May 2023)
  • [FCA CF] Material risk taker (9 Dec 2021 to 21 Feb 2023)
  • CF30 Customer (17 Oct 2018 to 8 Dec 2019)
• Masashi Miyata

  IRN MXM02384

  • CF30 Customer (25 Nov 2010 to 16 Apr 2018)
• Masato Kikuchi

  IRN MXK02738

  • CF30 Customer (3 Jan 2017 to 5 Jun 2018)
• Masayuki Azuma

  IRN MXA02566

  • CF1 Director (6 Sep 2012 to 23 Apr 2014)
  • CF30 Customer (6 Sep 2012 to 23 Apr 2014)
• Masayuki Hijikata

  IRN MXH03099

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 3 Jun 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 3 Jun 2021)
  • CF30 Customer (21 Dec 2016 to 8 Dec 2019)
• Masayuki Oketa

  IRN MXO00241

  • [FCA CF] Client dealing (12 Sep 2023 to 9 Jan 2025)
• Mats Boerje Carlstroem

  IRN MBC01030

  • [FCA CF] Client dealing (9 Dec 2019 to 14 Jul 2021)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 14 Jul 2021)
  • CF30 Customer (14 Jan 2013 to 8 Dec 2019)

No changes recorded yet.