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.

• Oksana Reinhardt

  IRN OXR01032

  • [FCA CF] Manager of certification employee (11 Oct 2021 to 16 Jan 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 16 Jan 2023)
  • CF30 Customer (2 Aug 2018 to 8 Dec 2019)
• Olivia Palmer

  IRN OXP00040

  • [FCA CF] Client dealing (23 May 2023 to 20 Jan 2025)
• Ololade Ogungbesan

  IRN OXO00165

  • [FCA CF] Client dealing (since 20 Aug 2025)
• Oluwadamilola Adeleye

  IRN OXA00206

  • [FCA CF] Client dealing (since 11 Mar 2026)
• Olympe Lavergne Delteil

  IRN OXL01107

  • CF30 Customer (21 Dec 2017 to 28 Sep 2018)
• Osamu Nakagawa

  IRN OXN00029

  • [FCA CF] Manager of certification employee (since 25 Sep 2023)
  • [FCA CF] Material risk taker (since 25 Sep 2023)
  • [FCA CF] Significant management (since 25 Sep 2023)
• Owen Verrier-Jones

  IRN OXV00003

  • [FCA CF] Manager of certification employee (1 Jul 2021 to 31 Mar 2025)
  • [FCA CF] Client dealing (1 Jul 2021 to 31 Mar 2025)
• Pablo Federico Perez

  IRN PPA01008

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Jan 2021)
  • CF30 Customer (21 Feb 2014 to 8 Dec 2019)
• Patricia Jackson

  IRN PDJ01055

  • SMF10 Chair of the Risk Committee (9 Dec 2019 to 1 Mar 2021)
  • SMF13 Chair of the Nominations Committee (9 Dec 2019 to 30 Sep 2024)
  • SMF9 Chair of the Governing Body (9 Dec 2019 to 30 Sep 2024)
  • CF2 Non Executive Director (13 Jun 2017 to 8 Dec 2019)
• Patrick Cogan

  IRN PXC01431

  • [FCA CF] Manager of certification employee (29 Oct 2021 to 26 Sep 2023)
  • [FCA CF] Client dealing (29 Oct 2021 to 26 Sep 2023)

No changes recorded yet.