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.

• Borislava Hillman

  IRN BXP69101

  • [FCA CF] Client dealing (since 10 Oct 2025)
  • [FCA CF] Client dealing (30 May 2024 to 29 May 2025)
• Brandon John Ginsberg

  IRN BJG01041

  • CF30 Customer (13 Feb 2013 to 8 Apr 2016)
• Brandon Stanford Romo

  IRN BXS00418

  • [FCA CF] Client dealing (24 May 2023 to 31 Mar 2025)
• Brian Jensen

  IRN BSJ01030

  • [FCA CF] Manager of certification employee (14 Mar 2023 to 26 Jan 2026)
  • [FCA CF] Client dealing (20 Feb 2023 to 26 Jan 2026)
• Bruce Railton

  IRN BXR01435

  • SMF18 Other Overall Responsibility (since 9 Dec 2019)
  • CF29 Significant management (24 Sep 2015 to 8 Dec 2019)
• Bryan Williams

  IRN BXW38418

  • SMF4 Chief Risk (since 14 Feb 2025)
• Bungo Miura

  IRN BXM01992

  • SMF7 Group Entity Senior Manager (since 12 Jul 2024)
  • CF29 Significant management (8 Jan 2018 to 31 Mar 2019)
  • CF1 Director (17 Mar 2017 to 31 Mar 2019)
  • CF30 Customer (17 Mar 2017 to 31 Mar 2019)
  • CF2 Non Executive Director (5 May 2016 to 14 Mar 2017)
• Caroline Rachel Lytton

  IRN CRS01080

  • [FCA CF] Manager of certification employee (13 Nov 2024 to 17 Mar 2025)
• Chieko Takenaka

  IRN CXT01123

  • [FCA CF] Client dealing (9 Dec 2019 to 20 Mar 2024)
  • CF30 Customer (20 Dec 2010 to 8 Dec 2019)
• Chihiro Muroi

  IRN CXM00296

  • [FCA CF] Client dealing (18 Aug 2020 to 7 Jul 2023)

No changes recorded yet.