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.

• Nicholas Paul Clinton

  IRN NPC01042

  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Mar 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Nicholas Paul Straker

  IRN NPS01027

  • [FCA CF] Client dealing (9 Dec 2019 to 17 Aug 2023)
  • CF30 Customer (26 Jul 2012 to 8 Dec 2019)
• Nicholas Samara

  IRN NXS01658

  • [FCA CF] Client dealing (7 Feb 2021 to 1 Mar 2021)
  • [FCA CF] Significant management (7 Feb 2021 to 1 Mar 2021)
  • [FCA CF] Manager of certification employee (21 Sep 2020 to 6 Feb 2021)
• Nick James Webb

  IRN NJW01180

  • CF30 Customer (8 Feb 2018 to 17 Oct 2018)
• Nico Richter

  IRN NXR00400

  • [FCA CF] Client dealing (since 24 Mar 2026)
• Nicola Dransfield

  IRN NXD07834

  • [FCA CF] Client dealing (9 Dec 2019 to 4 Mar 2021)
  • CF30 Customer (2 Nov 2018 to 8 Dec 2019)
• Nicolas Gregoriou

  IRN NXG00305

  • [FCA CF] Client dealing (since 10 Jun 2024)
• Nigel Brady

  IRN NPB01052

  • [FCA CF] Client dealing (7 Feb 2022 to 10 Dec 2024)
  • [FCA CF] Material risk taker (7 Feb 2022 to 7 Mar 2023)
• Nikita Jevtechov

  IRN NXJ01291

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (12 Nov 2015 to 8 Dec 2019)
• Oi Ying Vanessa Law

  IRN OXL00057

  • [FCA CF] Client dealing (14 Jun 2023 to 31 Mar 2025)

No changes recorded yet.