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.

• Medha Agrawal

  IRN MXA01845

  • [FCA CF] Client dealing (since 26 Jun 2025)
• Megumi Takayama

  IRN MXT01541

  • CF30 Customer (4 Jul 2011 to 19 Dec 2014)
• Mehul Mahendrakumar Desai

  IRN MMD01062

  • SMF3 Executive Director (since 1 Mar 2024)
  • SMF24 Chief Operations (since 24 Aug 2022)
  • SMF2 Chief Finance (since 9 Dec 2019)
  • CF28 Systems and controls (17 Oct 2014 to 8 Dec 2019)
• Michael Hurry

  IRN MXH00198

  • [FCA CF] Client dealing (since 22 Apr 2025)
• Michael Kammerlander

  IRN MXK01293

  • CF30 Customer (28 Jun 2018 to 8 Dec 2019)
• Michael Robert Hartley

  IRN MRH01107

  • CF30 Customer (1 Nov 2007 to 1 Jun 2012)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Michael Short

  IRN MXS02449

  • [FCA CF] Manager of certification employee (16 Sep 2024 to 31 Mar 2025)
  • [FCA CF] Client dealing (16 Sep 2024 to 31 Mar 2025)
• Michael Spasov

  IRN MIS01038

  • [FCA CF] Significant management (26 Apr 2024 to 31 Mar 2025)
  • [FCA CF] Material risk taker (26 Apr 2024 to 7 Oct 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Mar 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2025)
  • CF30 Customer (20 Feb 2015 to 8 Dec 2019)
• Milos Jovicic

  IRN MXJ00058

  • [FCA CF] Client dealing (1 Nov 2021 to 31 Mar 2025)
• Mingyuan Ye

  IRN MXY00020

  • [FCA CF] Material risk taker (9 Dec 2019 to 28 Oct 2020)

No changes recorded yet.