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.

• Thomas Sedgwick Coleman

  IRN TSC01015

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

  IRN TXQ01016

  • CF2 Non Executive Director (8 Apr 2009 to 8 Dec 2019)
• Timothy Quinn

  IRN TXQ00023

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
• Tomohiro Tatsumi

  IRN TXT00116

  • [FCA CF] Manager of certification employee (21 Jul 2021 to 9 Apr 2026)
  • [FCA CF] Client dealing (21 Jul 2021 to 9 Apr 2026)
• Tsuyoshi Isono

  IRN TXI01072

  • CF1 Director (1 Jun 2007 to 30 Apr 2009)
• Vicky Yuen

  IRN VXY01020

  • CF30 Customer (25 Nov 2015 to 8 Dec 2019)
• Yasuyuki Kimoto

  IRN YXK01008

  • CF1 Director (30 Dec 2002 to 30 Apr 2004)
• Yohei Sakurai

  IRN YXS00104

  • [FCA CF] Client dealing (since 8 Jun 2023)
• Yuji Hayashi

  IRN YXH01105

  • CF1 Director (20 Nov 2014 to 26 May 2016)
• Yukihiro Kikuyama

  IRN YXK00013

  • [FCA CF] Client dealing (28 Sep 2020 to 7 Jan 2021)

No changes recorded yet.