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

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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, 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

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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, 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

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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.

• 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.

• TODD HUNT

  IRN TWH01021

  • CF21 Investment Adviser (20 Aug 2003 to 9 Mar 2007)
• Taisei Negishi

  IRN TXN00088

  • [FCA CF] Client dealing (6 Mar 2023 to 21 Mar 2025)
• Takahiro Ueno

  IRN TXU01013

  • [FCA CF] Significant management (21 Feb 2020 to 2 May 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 2 May 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 2 May 2025)
  • CF30 Customer (1 Nov 2007 to 5 Aug 2013)
  • CF21 Investment Adviser (18 Mar 2003 to 31 Oct 2007)
• Takahiro Yazawa

  IRN TXY01108

  • Director of firm who is not a certification employee or a SMF manager (4 Mar 2022 to 6 Apr 2022)
  • SMF3 Executive Director (9 Dec 2019 to 4 Mar 2022)
  • CF30 Customer (15 Nov 2016 to 8 Dec 2019)
  • CF1 Director (15 Nov 2016 to 8 Dec 2019)
• Takara Ohori

  IRN TXO00130

  • [FCA CF] Client dealing (since 1 Sep 2023)
  • [FCA CF] Manager of certification employee (since 1 Sep 2023)
  • [FCA CF] Significant management (since 1 Sep 2023)
• Taro Hayashi

  IRN TXH01531

  • CF1 Director (30 Mar 2012 to 23 Apr 2014)
• Tetsufumi Fujisawa

  IRN TXF01103

  • CF1 Director (8 Jun 2004 to 30 Mar 2007)
• Tetsuya Tonoike

  IRN TXT01202

  • CF1 Director (27 Jun 2006 to 27 Mar 2009)
• Thomas Epple

  IRN TXE01133

  • CF30 Customer (14 Oct 2015 to 24 Feb 2016)
• Thomas Sedgwick Coleman

  IRN TSC01015

  • CF2 Non Executive Director (9 Jun 2011 to 8 Dec 2019)

No changes recorded yet.