About Us

SMBC Capital Markets, Inc. is a market maker for swaps, including interest rate, currency and commodity swaps and related derivative products, headquartered in New York.

SMBC Capital Markets, Inc. was provisionally registered as a swap dealer with the Commodity Futures Trading Commission on December 31, 2012. We are a member of the National Futures Association. We are a United States subsidiary of Sumitomo Mitsui Banking Corporation (Japan).

SMBC Nikko Capital Markets Limited (headquartered in London) is regulated by the Financial Conduct Authority and enters into swaps and related derivative products with counterparties in Europe, Africa and the Middle East. It also acts as agent for SMBC Capital Markets, Inc.

SMBC Capital Markets (Asia) Limited (headquartered in Hong Kong), a wholly owned subsidiary of SMBC Nikko Capital Markets Limited, is licensed by the Securities and Futures Commission, and enters into swaps and related derivative products with counterparties in Asia and the Pacific Rim, acting as agent for SMBC Capital Markets, Inc. and SMBC Nikko Capital Markets Limited.

As a counterparty for derivative product transactions, SMBC Capital Markets offers:

  • Competitive Market-making in Swaps: SMBC Capital Markets Inc. is currently a market maker in interest rate and currency swaps and interest rate options (caps, floors, swaptions) in over 30 different currencies.
  • Capital Strength and Credit Quality: As a guaranteed subsidiary of Sumitomo Mitsui Banking Corporation ("SMBC"), SMBC Capital Markets is backed by one of the largest banks in the world.
  • AA-/Aa1 Rated Special Purpose Vehicle: SMBC Derivative Products Limited ("SMBC DP Ltd.") is a bankruptcy remote Special Purpose Vehicle with counterparty risk ratings of AA-/Aa1 from S&P and Moody's. SMBC DP Ltd. can be used on a selective basis for booking certain types of derivative products for highly rated counterparties.
  • Global Coverage: SMBC Capital Markets operates out of New York, London and Hong Kong , quoting prices on a 24-hour basis.
  • Advice on Innovative Structures: SMBC Capital Markets will work together with its clients to provide advice on interest and currency management issues and to design solutions to match precisely its clients needs: from simple transactions to off-market, irregular cash flows, from short maturities to long dated structures, from small to very large size.