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.

• Yukinao Sato

  IRN YXS01171

  • CF28 Systems and controls (14 Sep 2011 to 16 May 2014)
• Yukio Ishii

  IRN YXI23858

  • SMF3 Executive Director (5 Apr 2022 to 12 Oct 2023)
  • [FCA CF] Significant management (9 Dec 2019 to 26 Apr 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 12 Oct 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 26 Apr 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 26 Apr 2022)
• Yumi Itoh

  IRN YXI01010

  • CF21 Investment Adviser (1 Dec 2001 to 13 Jul 2007)
• Yun Wan

  IRN YXW01052

  • [FCA CF] Manager of certification employee (1 Jul 2021 to 31 Mar 2025)
  • [FCA CF] Client dealing (1 Jul 2021 to 31 Mar 2025)
• Yushi Araki

  IRN YXA00013

  • [FCA CF] Material risk taker (9 Dec 2019 to 10 Mar 2026)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 10 Mar 2026)
  • [FCA CF] Client dealing (9 Dec 2019 to 10 Dec 2019)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
• Yusuke Daikuhara

  IRN YXD01097

  • [FCA CF] Client dealing (9 Dec 2019 to 21 Mar 2022)
  • CF30 Customer (16 Nov 2015 to 8 Dec 2019)
• Yusuke Ishimaru

  IRN YXI01059

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Nov 2020)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Nov 2020)
  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Nov 2020)
  • [FCA CF] Significant management (9 Dec 2019 to 30 Nov 2020)
  • CF30 Customer (28 Jan 2011 to 8 Dec 2019)
• Yusuke Nieda

  IRN YXN00004

  • [FCA CF] Client dealing (29 Oct 2021 to 5 Jun 2024)
• Yutaro Takeba

  IRN YXT08641

  • [FCA CF] Client dealing (9 Dec 2019 to 18 Nov 2020)
  • CF30 Customer (23 Nov 2018 to 8 Dec 2019)
• Yuto Tokumochi

  IRN YXT00045

  • [FCA CF] Client dealing (19 Aug 2022 to 12 Jan 2024)

No changes recorded yet.