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.

• Shohei Kaneko

  IRN SXK03017

  • [FCA CF] Client dealing (9 Dec 2019 to 25 Sep 2020)
  • CF30 Customer (23 Aug 2018 to 8 Dec 2019)
• Shota Toda

  IRN SXT02224

  • CF30 Customer (19 Apr 2017 to 1 Feb 2018)
• Shunji Shiima

  IRN SXS02992

  • CF30 Customer (14 Jun 2012 to 7 Apr 2014)
• Sidi Shatku

  IRN SXS02468

  • [FCA CF] Manager of certification employee (23 Feb 2021 to 15 Oct 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 15 Oct 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 15 Oct 2021)
  • CF30 Customer (16 Jan 2018 to 8 Dec 2019)
• Simon Barrows

  IRN SAB01137

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Mar 2025)
  • CF30 Customer (5 Dec 2017 to 8 Dec 2019)
• Simon Green

  IRN SXG01471

  • [FCA CF] Client dealing (since 20 Jan 2026)
• Simon James Rider

  IRN SJR01310

  • CF30 Customer (21 Feb 2012 to 20 Apr 2014)
• Simon McWilliam

  IRN SEM01104

  • [FCA CF] Manager of certification employee (28 Mar 2024 to 31 Mar 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2025)
  • CF30 Customer (26 Sep 2019 to 8 Dec 2019)
• Simon Quinn

  IRN SXQ01009

  • [FCA CF] Manager of certification employee (3 Dec 2020 to 31 Mar 2025)
  • [FCA CF] Material risk taker (3 Dec 2020 to 21 Feb 2023)
  • [FCA CF] Client dealing (3 Dec 2020 to 31 Mar 2025)
• Simone Cunliffe

  IRN SLC01163

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 7 Mar 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 7 Mar 2025)
  • CF30 Customer (16 Dec 2017 to 8 Dec 2019)

No changes recorded yet.