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.

• Sunil Bhagavath

  IRN SXB00352

  • [FCA CF] Material risk taker (9 Dec 2019 to 27 Nov 2020)
• TODD HUNT

  IRN TWH01021

  • CF21 Investment Adviser (20 Aug 2003 to 9 Mar 2007)
• Tadafumi Yukimasa

  IRN TXY00035

  • [FCA CF] Manager of certification employee (23 Nov 2023 to 31 Mar 2025)
  • [FCA CF] Client dealing (23 Nov 2023 to 31 Mar 2025)
• Taisei Negishi

  IRN TXN00088

  • [FCA CF] Client dealing (6 Mar 2023 to 21 Mar 2025)
• Takahiro Kida

  IRN TXK01622

  • CF30 Customer (31 May 2016 to 9 Mar 2018)
• Takahiro Moriguchi

  IRN TXM00482

  • [FCA CF] Material risk taker (since 7 Oct 2024)
• Takahiro Ueno

  IRN TXU01013

  • [FCA CF] Significant management (21 Feb 2020 to 2 May 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 2 May 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 2 May 2025)
  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Jun 2024)
  • CF30 Customer (1 Nov 2007 to 5 Aug 2013)
  • CF21 Investment Adviser (18 Mar 2003 to 31 Oct 2007)
• Takahiro Yazawa

  IRN TXY01108

  • SMF7 Group Entity Senior Manager (7 Jul 2022 to 18 Jul 2024)
  • Director of firm who is not a certification employee or a SMF manager (4 Mar 2022 to 8 Jul 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 28 Feb 2022)
  • SMF3 Executive Director (9 Dec 2019 to 4 Mar 2022)
  • CF1 Director (31 Oct 2016 to 8 Dec 2019)
  • CF30 Customer (31 Oct 2016 to 8 Dec 2019)
  • CF2 Non Executive Director (7 Oct 2014 to 1 Dec 2016)
• Takara Ohori

  IRN TXO00130

  • [FCA CF] Material risk taker (since 1 Sep 2023)
  • [FCA CF] Client dealing (since 1 Sep 2023)
  • [FCA CF] Significant management (since 1 Sep 2023)
  • [FCA CF] Manager of certification employee (since 1 Sep 2023)
• Takashi Fueno

  IRN TXF01226

  • CF30 Customer (10 Oct 2013 to 23 Aug 2019)

No changes recorded yet.