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.

• Simone Scarponi

  IRN SXS47708

  • [FCA CF] Client dealing (9 Dec 2020 to 20 Aug 2021)
• Sophie Elizabeth Kucerov

  IRN SXM01546

  • [FCA CF] Client dealing (since 9 Feb 2026)
  • [FCA CF] Client dealing (26 Mar 2025 to 31 Mar 2025)
• Sophie Jean-Marie Michelle Deslage-Berthet

  IRN SJD01206

  • CF30 Customer (1 Nov 2007 to 13 Jun 2013)
  • CF21 Investment Adviser (12 Oct 2006 to 31 Oct 2007)
• Stefan-Catalin Rusu

  IRN CXR74277

  • [FCA CF] Material risk taker (9 Dec 2021 to 21 Feb 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2021 to 16 Jun 2023)
  • [FCA CF] Client dealing (9 Dec 2021 to 16 Jun 2023)
• Stephanie Blanche Jacqueline Kiernan

  IRN SXK21698

  • SMF16 Compliance Oversight (22 Feb 2020 to 30 Nov 2025)
• Stephen David Apted

  IRN SDA01035

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Jul 2024)
  • [FCA CF] Significant management (9 Dec 2019 to 31 Jul 2024)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Jul 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Jul 2024)
  • CF30 Customer (19 Nov 2010 to 8 Dec 2019)
• Stephen Grew

  IRN SXG00544

  • [FCA CF] Manager of certification employee (since 3 Aug 2022)
  • [FCA CF] Client dealing (since 3 Aug 2022)
• Stephen Killeen

  IRN SXK14612

  • [FCA CF] Manager of certification employee (since 13 Oct 2025)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (15 May 2019 to 8 Dec 2019)
• Stephen Souchon

  IRN SXS04932

  • SMF12 Chair of the Remuneration Committee (9 Dec 2019 to 31 Dec 2024)
  • SMF11 Chair of the Audit Committee (9 Dec 2019 to 31 Dec 2024)
  • CF2 Non Executive Director (26 Jan 2018 to 8 Dec 2019)
• Stuart Moon

  IRN SXM01552

  • [FCA CF] Manager of certification employee (26 Nov 2024 to 31 Mar 2025)
  • [FCA CF] Client dealing (1 Jul 2021 to 31 Mar 2025)

No changes recorded yet.