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.

• Paul Burgess

  IRN PCB01105

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

  IRN PXC21209

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2025)
  • CF30 Customer (2 Oct 2019 to 8 Dec 2019)
• Paul Gibbon

  IRN PDG01066

  • [FCA CF] Client dealing (1 Jul 2021 to 31 Mar 2025)
  • [FCA CF] Manager of certification employee (1 Jul 2021 to 31 Mar 2025)
  • [FCA CF] Significant management (1 Jul 2021 to 31 Mar 2025)
• Paul William Davis

  IRN PWD01043

  • CF30 Customer (28 May 2012 to 6 Sep 2017)
• Pavle Zoric

  IRN PXZ00016

  • [FCA CF] Client dealing (2 Mar 2022 to 2 Sep 2022)
• Peter Camps

  IRN PJC01169

  • [FCA CF] Client dealing (3 Oct 2022 to 28 Jan 2026)
• Peter Doerig-Bal

  IRN PXD01213

  • [FCA CF] Client dealing (13 Oct 2020 to 31 Mar 2022)
• Peter Joseph Watson

  IRN PJW01159

  • CF30 Customer (11 May 2011 to 18 Oct 2012)
• Peter Moore

  IRN PJM01225

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Mar 2025)
  • [FCA CF] Material risk taker (9 Dec 2019 to 7 Oct 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2025)
  • [FCA CF] Significant management (9 Dec 2019 to 31 Mar 2025)
  • CF30 Customer (22 Sep 2015 to 8 Dec 2019)
• Philip Roland Coward

  IRN PRC01087

  • CF30 Customer (1 Nov 2007 to 19 Apr 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

No changes recorded yet.