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.

• Wajira Srimal Herath

  IRN WSH01026

  • [FCA CF] Client dealing (9 Dec 2019 to 17 Nov 2023)
  • CF30 Customer (10 Sep 2013 to 8 Dec 2019)
• William Jones

  IRN WTJ01004

  • [FCA CF] Client dealing (23 Oct 2024 to 31 Mar 2025)
  • [FCA CF] Manager of certification employee (23 Oct 2024 to 24 Oct 2024)
• William Joseph Edward Torbuck

  IRN WJT01033

  • [FCA CF] Client dealing (9 Dec 2019 to 11 Mar 2020)
  • CF30 Customer (18 Nov 2016 to 8 Dec 2019)
• William Knight

  IRN WXK00094

  • [FCA CF] Client dealing (since 27 Feb 2025)
• YANN Riou

  IRN YLR01000

  • CF30 Customer (17 Jan 2018 to 9 Apr 2019)
• Yaoki Tsutsumi

  IRN YXT01152

  • CF2 Non Executive Director (29 Jul 2015 to 7 Apr 2017)
• Yasuhiko Aosaka

  IRN YXA00084

  • [FCA CF] Significant management (since 23 Jul 2025)
  • [FCA CF] Manager of certification employee (since 23 Jul 2025)
  • [FCA CF] Material risk taker (since 1 Apr 2025)
• Yasuo Yamamoto

  IRN YXY01084

  • CF30 Customer (8 Jan 2013 to 31 Dec 2014)
• Yasushi Ishikawa

  IRN YXI01045

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2021)
  • CF30 Customer (30 Apr 2013 to 8 Dec 2019)
• Yogan Appalsamy

  IRN YXA23698

  • [FCA CF] Client dealing (9 Dec 2019 to 20 Mar 2020)
  • CF30 Customer (12 Nov 2019 to 8 Dec 2019)

No changes recorded yet.