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.

• Richard Hall

  IRN RXH01684

  • [FCA CF] Manager of certification employee (9 Dec 2021 to 17 May 2024)
  • [FCA CF] Client dealing (9 Dec 2021 to 17 May 2024)
  • [FCA CF] Material risk taker (9 Dec 2021 to 21 Feb 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (30 Oct 2007 to 31 Oct 2007)
• Richard Ludwig

  IRN RXL01567

  • CF30 Customer (3 May 2016 to 20 Sep 2018)
• Richard McKay

  IRN RJM01375

  • [FCA CF] Client dealing (18 Jan 2023 to 31 Mar 2025)
• Richard Suveges

  IRN RXS00797

  • [FCA CF] Client dealing (2 Dec 2022 to 31 Mar 2025)
• Risa Azehara

  IRN RXA00221

  • [FCA CF] Client dealing (since 6 Aug 2021)
• Robert Andrew Hooper

  IRN RAH01286

  • [FCA CF] Significant management (5 Oct 2022 to 31 Mar 2025)
  • [PRA CF] Significant risk taker or Material risk taker (5 Oct 2022 to 6 Oct 2022)
  • [FCA CF] Manager of certification employee (5 Oct 2022 to 31 Mar 2025)
• Robert Balch

  IRN ROB01012

  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Jul 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Jul 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Jul 2025)
  • [FCA CF] Significant management (9 Dec 2019 to 31 Jul 2025)
  • CF30 Customer (18 Oct 2019 to 8 Dec 2019)
• Robert Carney

  IRN RDC01109

  • [FCA CF] Manager of certification employee (29 Oct 2021 to 31 Jan 2025)
  • [FCA CF] Client dealing (29 Oct 2021 to 31 Jan 2025)
• Roderick Young Thomson

  IRN RYT01004

  • CF30 Customer (15 Aug 2011 to 30 Jul 2013)
• Ronak Chitroda

  IRN RNC01037

  • [FCA CF] Client dealing (since 10 May 2024)

No changes recorded yet.