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.

• Yohei Kitahara

  IRN YXK01197

  • CF30 Customer (11 Dec 2014 to 8 Dec 2016)
• Yohei Sakurai

  IRN YXS00104

  • [FCA CF] Client dealing (since 8 Jun 2023)
• Yoichiro Nakanishi

  IRN YXN00014

  • [FCA CF] Client dealing (12 Oct 2021 to 6 Apr 2023)
• Yojiro Yanagi

  IRN YXY01122

  • [FCA CF] Client dealing (9 Dec 2019 to 18 Mar 2021)
  • CF30 Customer (26 Jul 2017 to 8 Dec 2019)
• Yoshiko Mizuguchi

  IRN YXM01048

  • [FCA CF] Client dealing (8 Nov 2021 to 30 Sep 2024)
• Yoshinori Ogawa

  IRN YXO01076

  • [FCA CF] Client dealing (9 Dec 2019 to 15 Jun 2022)
  • CF30 Customer (10 Jul 2013 to 18 Mar 2016)
• Yoshiteru Shibata

  IRN YXS01172

  • CF30 Customer (7 Jul 2011 to 13 May 2014)
• Yoshiyuki Ohmi

  IRN YXO01038

  • CF2 Non Executive Director (7 Oct 2014 to 11 Aug 2015)
• Yoshiyuki Sampei

  IRN YXS01297

  • CF30 Customer (27 Sep 2016 to 30 May 2018)
• Yosuke Kaneko

  IRN YXK13574

  • [FCA CF] Client dealing (9 Dec 2019 to 7 Jan 2021)
  • CF30 Customer (6 Apr 2019 to 8 Dec 2019)

No changes recorded yet.