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.

• Dan Matthews

  IRN DLM01044

  • [FCA CF] Significant management (21 Oct 2024 to 31 Mar 2025)
  • [FCA CF] Manager of certification employee (1 Jul 2021 to 31 Mar 2025)
  • [FCA CF] Client dealing (1 Jul 2021 to 31 Mar 2025)
• Daniel Duper

  IRN DHD01036

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (26 Nov 2012 to 8 Dec 2019)
• David Adkins

  IRN DAA01104

  • [FCA CF] Manager of certification employee (since 4 Sep 2024)
  • [FCA CF] Client dealing (since 4 Sep 2024)
• David Christian Schroth

  IRN DCS01168

  • CF30 Customer (2 Jun 2018 to 29 Nov 2018)
• David Craig Bourne

  IRN DCB01075

  • [FCA CF] Material risk taker (9 Dec 2019 to 15 Feb 2021)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 15 Feb 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 15 Feb 2021)
  • CF30 Customer (10 Oct 2019 to 8 Dec 2019)
• David Keith Mordecai

  IRN DKM01023

  • CF21 Investment Adviser (9 Sep 2002 to 23 Apr 2004)
• David Kenyon Barker

  IRN DKB01037

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2021)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Jun 2021)
  • CF30 Customer (19 May 2011 to 8 Dec 2019)
• David Michael Smith

  IRN DMS01131

  • CF13 Finance (1 Dec 2001 to 30 Sep 2004)
• David Thomas Bradbury

  IRN DTB01034

  • CF30 Customer (25 Jan 2012 to 17 May 2019)
• Dawn Simone Kravitz

  IRN DSF01037

  • [FCA CF] Client dealing (7 Jul 2022 to 21 Apr 2024)

No changes recorded yet.