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.

• Philip Ronald Dexter Watkins

  IRN PRW01073

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 20 Mar 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 20 Mar 2024)
  • CF30 Customer (25 Aug 2015 to 8 Dec 2019)
• Phupinder Johar

  IRN PXJ00028

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

  IRN REB01128

  • CF30 Customer (18 Nov 2014 to 29 Apr 2016)
• Radhika Popat

  IRN RXP00373

  • [FCA CF] Client dealing (4 Mar 2022 to 31 Mar 2025)
• Rahul Popat

  IRN RXP00734

  • [FCA CF] Client dealing (since 19 Aug 2025)
• Ravir Singh Nandra

  IRN RSN31665

  • [FCA CF] Client dealing (since 29 Jun 2023)
• Ray Majdalani

  IRN RXM00531

  • [FCA CF] Manager of certification employee (19 Jul 2024 to 9 Oct 2025)
  • [FCA CF] Client dealing (20 Sep 2021 to 9 Oct 2025)
  • [FCA CF] Material risk taker (20 Sep 2021 to 21 Feb 2023)
• Reuben Dyce

  IRN RXD00318

  • [FCA CF] Client dealing (since 28 Apr 2022)
• Richard Bowden Ayers

  IRN RXA01164

  • [FCA CF] Client dealing (9 Dec 2019 to 31 May 2020)
  • CF30 Customer (3 Jun 2013 to 8 Dec 2019)
• Richard Edward Davies

  IRN RED01021

  • SMF4 Chief Risk (9 Dec 2019 to 14 Feb 2025)
  • CF28 Systems and controls (8 Sep 2015 to 8 Dec 2019)

No changes recorded yet.