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

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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, 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.

• Bruce Railton

  IRN BXR01435

  • CF29 Significant management (24 Sep 2015 to 8 Dec 2019)
• Christopher Parsons

  IRN CJP01119

  • [FCA CF] Manager of certification employee (3 May 2024 to 30 Jun 2025)
  • [FCA CF] Client dealing (19 Jan 2021 to 30 Jun 2025)
• Ciaran Murphy

  IRN CXM01925

  • CF11 Money Laundering Reporting (9 Oct 2015 to 29 Feb 2016)
  • CF10 Compliance Oversight (9 Oct 2015 to 29 Feb 2016)
• Daniel Duper

  IRN DHD01036

  • [FCA CF] Client dealing (since 4 Dec 2025)
  • CF30 Customer (25 Nov 2015 to 8 Dec 2019)
• David Adkins

  IRN DAA01104

  • [FCA CF] Client dealing (since 4 Sep 2024)
  • [FCA CF] Manager of certification employee (since 4 Sep 2024)
• David Keith Mordecai

  IRN DKM01023

  • CF21 Investment Adviser (9 Sep 2002 to 23 Apr 2004)
• David Michael Smith

  IRN DMS01131

  • CF13 Finance (1 Dec 2001 to 30 Sep 2004)
• Dawn Simone Kravitz

  IRN DSF01037

  • [FCA CF] Client dealing (7 Jul 2022 to 21 Apr 2024)
• Diane Bruelle

  IRN DLB01085

  • [FCA CF] Client dealing (9 Dec 2019 to 21 Nov 2023)
• Dipesh Ganatra

  IRN DXG00052

  • Director of firm who is not a certification employee or a SMF manager (since 14 Jun 2024)

No changes recorded yet.