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

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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.

• Jeremy Charles Boulton

  IRN JCB01158

  • CF11 Money Laundering Reporting (10 Nov 2010 to 30 Apr 2015)
  • CF10 Compliance Oversight (10 Nov 2010 to 30 Apr 2015)
  • CF28 Systems and controls (10 Nov 2010 to 30 Apr 2015)
• John David Thomas

  IRN JDT01084

  • CF2 Non Executive Director (10 Aug 2015 to 8 Dec 2019)
• John William Hardbattle

  IRN JWH01110

  • CF30 Customer (1 Nov 2007 to 9 Feb 2009)
  • CF21 Investment Adviser (8 Dec 2006 to 31 Oct 2007)
• John de Courcy-Bower

  IRN JSD01120

  • [FCA CF] Client dealing (13 Sep 2021 to 6 Sep 2023)
• Jonathan James Falconer

  IRN JJF01063

  • CF10 Compliance Oversight (29 Feb 2016 to 8 Sep 2019)
  • CF11 Money Laundering Reporting (29 Feb 2016 to 8 Sep 2019)
• Jonathan William Avery

  IRN JWA01026

  • CF28 Systems and controls (1 Nov 2007 to 1 Aug 2017)
  • CF13 Finance (12 Oct 2004 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 22 Oct 2010)
• Joseph Bailey

  IRN JWB01168

  • [FCA CF] Client dealing (9 Dec 2019 to 17 May 2024)
• Joseph Leo Brennan

  IRN JLB01068

  • CF1 Director (1 Dec 2001 to 4 Mar 2002)
• Joseph Paul Hicks

  IRN JPH01125

  • CF30 Customer (1 Nov 2007 to 15 Aug 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Joshua Thaminder Cheema

  IRN JTC01067

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2021)

No changes recorded yet.