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.

• Tomohiro Okayama

  IRN TXO01309

  • CF30 Customer (18 Apr 2016 to 6 Apr 2019)
• Tomohiro Okayama

  IRN TXO00094

  • [FCA CF] Client dealing (19 Jul 2022 to 24 May 2024)
• Tomohiro Tatsumi

  IRN TXT00116

  • [FCA CF] Client dealing (21 Jul 2021 to 9 Apr 2026)
  • [FCA CF] Manager of certification employee (21 Jul 2021 to 9 Apr 2026)
• Tomoki Noda

  IRN TXN01224

  • CF30 Customer (11 Apr 2014 to 15 May 2015)
• Toshiaki Matsui

  IRN TXM27798

  • SMF24 Chief Operations (14 May 2020 to 26 May 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 24 May 2020)
  • [FCA CF] Material risk taker (9 Dec 2019 to 24 May 2020)
  • [FCA CF] Significant management (9 Dec 2019 to 24 May 2020)
• Toshihiro Horiuchi

  IRN TXH01683

  • CF29 Significant management (11 Aug 2015 to 15 Dec 2017)
• Toshiya Sasagawa

  IRN TXS01606

  • [FCA CF] Client dealing (9 Dec 2019 to 29 Jun 2021)
  • CF30 Customer (12 Nov 2010 to 8 Dec 2019)
• Trang Thi Hien Nguyen

  IRN TXN01113

  • [FCA CF] Manager of certification employee (21 Oct 2021 to 11 May 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 11 May 2022)
  • CF30 Customer (4 Feb 2011 to 8 Dec 2019)
• Tsukasa Prockter

  IRN TXP01074

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2025)
  • CF30 Customer (21 Jul 2011 to 8 Dec 2019)
• Tsuyoshi Isono

  IRN TXI01072

  • CF1 Director (1 Jun 2007 to 30 Apr 2009)

No changes recorded yet.