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.

• Minoru Sakamoto

  IRN MXS01790

  • CF30 Customer (14 Feb 2011 to 30 Apr 2015)
• Mitsugu Serizawa

  IRN MXS02187

  • CF1 Director (2 Nov 2005 to 15 Jun 2009)
• Mitsuhiro Akiyama

  IRN MXA01940

  • CF2 Non Executive Director (15 Jun 2016 to 19 Apr 2018)
  • CF1 Director (24 Apr 2009 to 27 Apr 2012)
• Miwa Sophia Anderson

  IRN MSA01062

  • CF30 Customer (4 May 2011 to 21 Mar 2014)
• Miyuki Muroi

  IRN MXM01894

  • CF21 Investment Adviser (1 Jun 2004 to 15 Mar 2006)
• Moeko Kunstyr

  IRN MXK00526

  • [FCA CF] Client dealing (14 Jun 2022 to 31 Mar 2025)
• Motohiro Tanaka

  IRN TXM01767

  • CF30 Customer (14 Aug 2012 to 3 Oct 2013)
• Muni Niraj

  IRN MXN01333

  • CF30 Customer (10 Dec 2007 to 29 Jan 2009)
• Naoki Okubo

  IRN NXO01166

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 20 Mar 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 20 Mar 2025)
  • SMF3 Executive Director (9 Dec 2019 to 1 Apr 2020)
  • SMF24 Chief Operations (9 Dec 2019 to 1 Apr 2020)
  • CF1 Director (9 May 2017 to 8 Dec 2019)
• Naoto Kamiya

  IRN NXK00236

  • [FCA CF] Client dealing (26 Apr 2023 to 25 Sep 2024)

No changes recorded yet.