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.

• Takashi Okabe

  IRN TXO01338

  • CF30 Customer (7 Jun 2018 to 7 Jun 2019)
• Takashi Sakai

  IRN TXS01786

  • CF29 Significant management (30 Sep 2014 to 20 Oct 2016)
  • CF30 Customer (4 Aug 2014 to 20 Oct 2016)
• Takefumi Obama

  IRN TXO17007

  • [FCA CF] Client dealing (9 Dec 2019 to 11 Apr 2023)
  • CF30 Customer (15 Jul 2019 to 8 Dec 2019)
• Takushi Hirokawa

  IRN TXH01749

  • CF30 Customer (19 Jun 2017 to 28 Jun 2018)
• Taro Hayashi

  IRN TXH01531

  • CF1 Director (30 Mar 2012 to 23 Apr 2014)
  • CF30 Customer (30 Mar 2012 to 23 Apr 2014)
• Tatsuya Shirakawa

  IRN TXS06470

  • [FCA CF] Client dealing (9 Dec 2019 to 12 Feb 2021)
  • CF30 Customer (21 Sep 2018 to 8 Dec 2019)
• Tatsuya Takahashi

  IRN TXT01379

  • CF30 Customer (6 Mar 2014 to 4 Apr 2016)
• Terry Ballard

  IRN TXB01183

  • [FCA CF] Client dealing (since 14 Sep 2021)
  • [FCA CF] Manager of certification employee (since 14 Sep 2021)
  • [FCA CF] Material risk taker (14 Sep 2021 to 7 Mar 2023)
• Terry Wright

  IRN TXW01103

  • [FCA CF] Manager of certification employee (6 Jan 2021 to 31 Mar 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2025)
  • CF30 Customer (15 May 2013 to 8 Dec 2019)
• Tetsufumi Fujisawa

  IRN TXF01103

  • CF1 Director (11 May 2004 to 30 Mar 2007)

No changes recorded yet.