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.

• Vadim Melekhin

  IRN VXM00230

  • [FCA CF] Client dealing (since 16 Jun 2025)
  • [FCA CF] Manager of certification employee (since 16 Jun 2025)
• Valerie Palmer

  IRN VXP00036

  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Mar 2021)
  • [FCA CF] Significant management (9 Dec 2019 to 31 Mar 2021)
• Veenay Surendra Chheda

  IRN VSC01003

  • [FCA CF] Manager of certification employee (28 Sep 2021 to 20 Mar 2024)
  • [FCA CF] Material risk taker (28 Sep 2021 to 20 Mar 2024)
  • [FCA CF] Client dealing (28 Sep 2021 to 20 Mar 2024)
• Vicky Yuen

  IRN VXY01020

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (10 Jun 2015 to 8 Dec 2019)
• Victor Pique

  IRN VXP00145

  • [FCA CF] Client dealing (19 Jun 2023 to 31 Mar 2025)
• Vikesh Tanna

  IRN VPT01004

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2025)
  • CF30 Customer (22 Nov 2016 to 8 Dec 2019)
• Vincent Lavocat

  IRN VXL01070

  • [FCA CF] Manager of certification employee (30 May 2024 to 31 Mar 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2025)
  • CF30 Customer (19 Oct 2016 to 8 Dec 2019)
• Vincent Xavier Barbier

  IRN VXB01140

  • CF30 Customer (13 Mar 2014 to 12 Sep 2014)
• Vincenzo Adriano Imondi

  IRN VAI01001

  • CF30 Customer (3 Jun 2013 to 8 Dec 2019)
• Vivek Laddha

  IRN VXL01183

  • [FCA CF] Client dealing (31 Jan 2023 to 31 Mar 2025)

No changes recorded yet.