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.

• Samuel Gerhard

  IRN SXG00780

  • [FCA CF] Client dealing (8 Apr 2024 to 23 Jan 2026)
• Sandeep Chatterjee

  IRN SXC02129

  • [FCA CF] Manager of certification employee (4 Apr 2024 to 30 Nov 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Nov 2024)
  • CF30 Customer (15 Nov 2017 to 8 Dec 2019)
• Sara Lindsay

  IRN SKL01040

  • [FCA CF] Client dealing (9 Dec 2019 to 14 Jan 2026)
  • CF30 Customer (17 Mar 2016 to 8 Dec 2019)
• Sasha Emily Nugent

  IRN SEN01026

  • CF30 Customer (18 Sep 2015 to 21 Jun 2019)
• Satoshi Morito

  IRN SXM03748

  • CF30 Customer (29 Sep 2015 to 10 Jun 2016)
• Scott Christopher Callahan

  IRN SCC01053

  • [FCA CF] Material risk taker (9 Dec 2019 to 17 Dec 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 17 Dec 2021)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 17 Dec 2021)
  • CF30 Customer (17 Oct 2018 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 15 Jun 2007)
• Sebastian Brooks

  IRN SXB04211

  • [FCA CF] Client dealing (since 11 Mar 2026)
• Seiichi Izumo

  IRN SXI01172

  • CF30 Customer (5 May 2011 to 3 Apr 2017)
• Seiki Kato

  IRN SXK02950

  • CF30 Customer (21 Feb 2018 to 5 Apr 2019)
• Sejal Dharurkar

  IRN SXD00869

  • [FCA CF] Client dealing (since 27 Jan 2025)
  • [FCA CF] Proprietary trader (10 Oct 2025 to 27 Feb 2026)

No changes recorded yet.