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.

• Roque Barretto

  IRN RSB01132

  • [FCA CF] Client dealing (since 6 Jul 2021)
• Roxana Mischianu

  IRN RXM00232

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

  IRN RXJ00188

  • [FCA CF] Client dealing (18 Mar 2022 to 22 Aug 2025)
• Ryo Sakuma

  IRN RXS01002

  • [FCA CF] Client dealing (23 Feb 2024 to 31 Mar 2025)
• Ryo Suzuki

  IRN RXS02054

  • CF1 Director (1 Jul 2009 to 18 Sep 2012)
• Ryo Yoshida

  IRN RXY01121

  • [FCA CF] Client dealing (9 Dec 2019 to 9 Dec 2020)
  • CF30 Customer (14 Jul 2016 to 8 Dec 2019)
• Ryoji Matsusaka

  IRN RXM02755

  • CF30 Customer (5 Aug 2015 to 28 Jun 2019)
• Ryuichi Nohara

  IRN RXN00219

  • [FCA CF] Client dealing (since 29 Sep 2023)
• Sabine Chappard

  IRN SDC01062

  • [FCA CF] Client dealing (since 4 Apr 2024)
  • [FCA CF] Manager of certification employee (since 4 Apr 2024)
• Samir Amalou

  IRN SXA01155

  • [FCA CF] Significant management (9 Dec 2019 to 14 Jan 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 14 Jan 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 14 Jan 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 14 Jan 2022)
  • CF30 Customer (22 Nov 2010 to 8 Dec 2019)

No changes recorded yet.