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.

• Annabel Finlay

  IRN AJH01382

  • [FCA CF] Client dealing (28 Feb 2025 to 31 Mar 2025)
  • [FCA CF] Manager of certification employee (28 Feb 2025 to 31 Mar 2025)
  • [FCA CF] Significant management (28 Feb 2025 to 31 Mar 2025)
• Anthony John Sewell

  IRN AXS01740

  • CF1 Director (9 Jul 2002 to 12 Jun 2009)
• Anthony Saputo

  IRN ADS01210

  • CF30 Customer (30 Oct 2017 to 8 Dec 2019)
• Anthony William Bryson

  IRN AWB01054

  • [FCA CF] Manager of certification employee (19 Jan 2021 to 31 Aug 2023)
  • [FCA CF] Significant management (19 Jan 2021 to 31 Aug 2023)
  • [FCA CF] Client dealing (19 Jan 2021 to 31 Aug 2023)
  • [FCA CF] Material risk taker (19 Jan 2021 to 31 Aug 2023)
• Antony Yates

  IRN AXY01027

  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (30 Jun 2015 to 9 Oct 2015)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF3 Chief Executive (1 Dec 2001 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Dec 2001 to 22 Oct 2010)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Arnaud Fauthous

  IRN AXF52723

  • [FCA CF] Client dealing (29 Dec 2021 to 31 Mar 2025)
• Ashley Wang

  IRN AYW01003

  • [FCA CF] Client dealing (30 Mar 2022 to 20 Mar 2024)
• Atsushi Matsumoto

  IRN AXM03255

  • CF30 Customer (19 Jan 2012 to 1 Oct 2012)
• Atsushi Yaguchi

  IRN AXY00026

  • [FCA CF] Client dealing (9 Dec 2019 to 12 Jan 2022)
• Azizalha Saiq

  IRN AXS05724

  • [FCA CF] Client dealing (since 3 Mar 2026)

No changes recorded yet.