SMBC Derivative Products Limited

• Principal Place of Business

  100 Liverpool Street

  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), 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), Share, Spread Bet, Unit, Warrant

  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, Retail (Investment), 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), Share, Spread Bet, Unit, Warrant

  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, Retail (Investment), 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), Share, Spread Bet, Unit, Warrant

  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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), 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), Share, Spread Bet, Unit, Warrant

  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.

• Aarti Sharma

  IRN AXS01547

  • Director of firm who is not a certification employee or a SMF manager (since 7 Mar 2024)
• Adrian Hajjar

  IRN AXH00770

  • [FCA CF] Client dealing (since 15 Aug 2022)
• Aglaia Vasileiou

  IRN AXV01296

  • [FCA CF] Client dealing (since 12 Mar 2025)
• Alexander Chappell

  IRN AXC02956

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (25 Nov 2015 to 8 Dec 2019)
• Andrew George William Willett

  IRN AGW01060

  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 7 Jun 2002)
  • CF21 Investment Adviser (1 Dec 2001 to 7 Jun 2002)
• Antony Yates

  IRN AXY01027

  • SMF9 Chair of the Governing Body (since 21 Feb 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (30 Jun 2015 to 9 Oct 2015)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF3 Chief Executive (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF10 Compliance Oversight (1 Dec 2001 to 22 Oct 2010)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
• Augustus Moore

  IRN AXM02642

  • CF1 Director (13 Oct 2008 to 12 Nov 2019)
• Azizalha Saiq

  IRN AXS05724

  • [FCA CF] Client dealing (since 3 Mar 2026)
• Benjamin Ronsseray

  IRN BXR01221

  • [FCA CF] Client dealing (15 Jun 2022 to 24 Sep 2024)
• Benjit Dhesi

  IRN BSD01023

  • [FCA CF] Client dealing (20 Jan 2022 to 30 Jun 2025)
  • [FCA CF] Manager of certification employee (20 Jan 2022 to 30 Jun 2025)
  • CF30 Customer (29 Dec 2015 to 8 Dec 2019)

No changes recorded yet.