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.

• Selim Toker

  IRN PST01017

  • [FCA CF] Material risk taker (since 1 Jul 2024)
  • [FCA CF] Manager of certification employee (since 19 Jan 2023)
  • [FCA CF] Client dealing (since 19 Jan 2023)
• Sergio Amiti

  IRN SXA01369

  • [FCA CF] Client dealing (9 Dec 2019 to 9 Dec 2020)
  • CF30 Customer (17 Feb 2015 to 8 Dec 2019)
• Shashwat Sharma

  IRN SXS04244

  • [FCA CF] Client dealing (11 May 2022 to 16 Sep 2022)
• Shazad Amir

  IRN SXA01531

  • [FCA CF] Manager of certification employee (since 13 Oct 2025)
  • [FCA CF] Client dealing (since 12 Jan 2022)
  • [FCA CF] Material risk taker (12 Jan 2022 to 21 Feb 2023)
• Sheel Sumit

  IRN SXS03173

  • [FCA CF] Client dealing (15 May 2023 to 31 Mar 2025)
• Sheikh Halim

  IRN SXH13493

  • [FCA CF] Client dealing (9 Dec 2019 to 22 Jan 2024)
  • CF30 Customer (5 Apr 2019 to 8 Dec 2019)
• Sherhan Terence Wicky

  IRN STW01044

  • CF30 Customer (1 Nov 2007 to 24 Jun 2008)
  • CF21 Investment Adviser (8 Dec 2006 to 31 Oct 2007)
• Shigehiro Kataoka

  IRN SXK01445

  • [FCA CF] Client dealing (28 Jul 2021 to 31 Mar 2025)
• Shin Aota

  IRN SXA00501

  • [FCA CF] Material risk taker (since 1 Jul 2024)
  • [FCA CF] Manager of certification employee (since 17 Dec 2021)
  • [FCA CF] Client dealing (since 17 Dec 2021)
  • [FCA CF] Material risk taker (17 Dec 2021 to 21 Feb 2023)
• Shingo Nakayama

  IRN SXN00315

  • [FCA CF] Client dealing (5 Jul 2023 to 31 Mar 2025)

No changes recorded yet.