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.

• Badis Chibani

  IRN BXC12144

  • [FCA CF] Client dealing (9 Dec 2019 to 18 Aug 2021)
  • CF30 Customer (2 Mar 2019 to 8 Dec 2019)
• Bao Tran Pham

  IRN BXP00316

  • [FCA CF] Client dealing (11 Apr 2025 to 3 Dec 2025)
  • [FCA CF] Proprietary trader (11 Apr 2025 to 3 Dec 2025)
• Baptiste Carlier

  IRN BXC00041

  • [FCA CF] Manager of certification employee (17 Sep 2021 to 31 Aug 2024)
  • [FCA CF] Client dealing (17 Sep 2021 to 31 Aug 2024)
  • [FCA CF] Material risk taker (17 Sep 2021 to 21 Feb 2023)
• Barrie Roy Jackson

  IRN BRJ01021

  • CF28 Systems and controls (17 Oct 2013 to 22 Jan 2015)
• Bathusha Ravichandran

  IRN BXR00196

  • [FCA CF] Client dealing (26 Jul 2023 to 31 Mar 2025)
• Benjamin Ronsseray

  IRN BXR01221

  • [FCA CF] Client dealing (15 Jun 2022 to 24 Sep 2024)
• Benjamin Warner

  IRN BXW00179

  • [FCA CF] Client dealing (15 Nov 2021 to 16 Sep 2022)
• Benjit Dhesi

  IRN BSD01023

  • [FCA CF] Manager of certification employee (12 Nov 2021 to 30 Jun 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2025)
  • CF30 Customer (12 Jul 2013 to 8 Dec 2019)
• Benoit Antoine Arnaud Desmarest

  IRN BAD01040

  • CF30 Customer (6 Feb 2017 to 8 Dec 2019)
• Bhavik Adatia

  IRN BXA19591

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2025)
  • CF30 Customer (31 Aug 2019 to 8 Dec 2019)

No changes recorded yet.