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.

• Christian Andreas Hoessrich

  IRN CAH01201

  • [FCA CF] Client dealing (9 Dec 2019 to 9 Aug 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 9 Aug 2024)
  • CF30 Customer (27 Oct 2014 to 8 Dec 2019)
• Christian Chardot

  IRN CXC01535

  • CF30 Customer (30 Jul 2018 to 8 Dec 2019)
• Christian Leibl

  IRN CXL01158

  • [FCA CF] Manager of certification employee (23 Oct 2024 to 31 Mar 2025)
• Christopher Michael Hargreaves

  IRN CMH01190

  • CF30 Customer (14 Dec 2015 to 3 Dec 2018)
• Christopher Parsons

  IRN CJP01119

  • [FCA CF] Manager of certification employee (3 May 2024 to 30 Jun 2025)
  • [FCA CF] Client dealing (19 Jan 2021 to 30 Jun 2025)
• Ciaran Murphy

  IRN CXM01925

  • CF10 Compliance Oversight (9 Oct 2015 to 29 Feb 2016)
  • CF11 Money Laundering Reporting (9 Oct 2015 to 29 Feb 2016)
• Clemence-Aubelia Jeanne Botta

  IRN CJL01175

  • [FCA CF] Client dealing (9 Dec 2019 to 6 Dec 2021)
  • CF30 Customer (28 Aug 2015 to 8 Dec 2019)
• Conor Dolan

  IRN CXD00058

  • [FCA CF] Client dealing (1 Jul 2021 to 5 Dec 2025)
  • [FCA CF] Manager of certification employee (1 Jul 2021 to 5 Dec 2025)
• Craig Brims

  IRN CXB00182

  • [FCA CF] Significant management (since 27 Apr 2020)
  • [FCA CF] Material risk taker (since 12 Feb 2020)
  • [FCA CF] Manager of certification employee (12 Feb 2020 to 10 Jan 2025)
• Daisuke Kanzaki

  IRN DXK01526

  • CF30 Customer (14 Jun 2013 to 17 Nov 2016)

No changes recorded yet.