Tokai Tokyo Securities Europe Limited

• Principal Place of Business

  Tokai Tokyo Securities Europe Ltd

  Salisbury House

  London Wall

  London

  City Of London

  EC2M 5QQ

  UNITED KINGDOM

  Phone

  +4407958298844

  Web

  https://www.tokaitokyo-fh.jp/en/corporate/groups/europe/

• Complaints Contact

  Tokai Tokyo Securities Europe Ltd

  Salisbury House

  London Wall

  London

  City Of London

  EC2M 5QQ

  UNITED KINGDOM

  Phone

  +442070704620

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, 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), Share

  Show 1 limitation Hide limitations

  • · 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.

• 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, Certificates representing certain security, 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), Share

  Show 1 limitation Hide limitations

  • · 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, Certificates representing certain security, 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), Share

  Show 1 limitation Hide limitations

  • · 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, Certificates representing certain security, 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), Share

  Show 2 limitations Hide limitations

  • · 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.
  • · Unable to: (i) hold financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook and (ii) underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, 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), Share

  Show 1 limitation Hide limitations

  • · 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.

• Manages Your Portfolio

  For Professional, Alternative Debenture, Certificates representing certain security, 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

  Show 1 limitation Hide limitations

  • · 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.

• Hiroshi Maezono

  IRN HXM01778

  • CF2 Non Executive Director (13 Jun 2017 to 19 Jun 2019)
• Hiroshi Yoshizawa

  IRN HXY00031

  • Director of firm who is not a certification employee or a SMF manager (since 19 May 2022)
• Isao Onosaka

  IRN IXO01048

  • CF3 Chief Executive (15 Apr 2010 to 1 Nov 2013)
  • CF11 Money Laundering Reporting (15 Apr 2010 to 10 Feb 2011)
  • CF10 Compliance Oversight (15 Apr 2010 to 10 Feb 2011)
  • CF1 Director (15 Apr 2010 to 1 Nov 2013)
• Jan Ostberg

  IRN KXO01125

  • [FCA CF] Proprietary trader (4 Jul 2022 to 30 Dec 2022)
• Katsuaki Ohnishi

  IRN KXO01161

  • CF30 Customer (9 Oct 2012 to 16 Jan 2017)
• Kazuhiko Shiimado

  IRN KXS00602

  • Director of firm who is not a certification employee or a SMF manager (since 20 Jul 2023)
• Kei Yuguchi

  IRN KXY00067

  • SMF9 Chair of the Governing Body (since 15 May 2025)
• Keiji Sugimoto

  IRN KXS01526

  • CF2 Non Executive Director (19 Mar 2007 to 16 Jun 2009)
• Kenta Maruhashi

  IRN KXM02410

  • CF30 Customer (4 Aug 2018 to 29 Mar 2019)
• Kiho Kato

  IRN KXK01357

  • CF30 Customer (18 Mar 2009 to 18 Mar 2009)

No changes recorded yet.