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

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  • · 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

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  • · 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

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  • · 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

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  • · 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

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  • · 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

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  • · 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

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  • · 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.

• Pavandeep Sagoo

  IRN PXS01854

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (24 Mar 2014 to 8 Dec 2019)
• Pierre Micallef

  IRN PXM02184

  • [FCA CF] Proprietary trader (22 Jul 2024 to 22 Aug 2025)
• Richard Drain

  IRN RXD01545

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (10 Feb 2011 to 8 Dec 2019)
  • CF10 Compliance Oversight (10 Feb 2011 to 8 Dec 2019)
• Rie Tezuka

  IRN RXT01461

  • CF30 Customer (19 Mar 2010 to 7 Jan 2011)
• Rika Chinen

  IRN RXC00601

  • [FCA CF] Client dealing (since 14 Feb 2023)
• Ryo Makino

  IRN RXM02506

  • CF30 Customer (6 Oct 2014 to 1 May 2015)
• Satoshi Yamaguchi

  IRN SXY00113

  • [FCA CF] Proprietary trader (8 Apr 2024 to 26 Sep 2025)
• Shalok Anand

  IRN SXA00854

  • [FCA CF] Proprietary trader (4 Jul 2024 to 24 Nov 2025)
• Shigehiro Kataoka

  IRN SXK01445

  • CF30 Customer (4 Jun 2010 to 15 Jun 2015)
• Shinobu Ikari

  IRN SXI15117

  • CF2 Non Executive Director (1 Jul 2019 to 8 Dec 2019)

No changes recorded yet.