SMBC Derivative Products Limited

Date authorised
1 April 2013
Companies House
02988637
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Authorised to Operate

    Show 1 limitation
    • · 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
    • · 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
    • · 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
    • · 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Jun Mizoguchi

    IRN JXM01475

    • CF1 Director (27 Jun 2006 to 1 Jul 2010)
  • Katsuhiko Namikawa

    IRN KXN01068

    • CF1 Director (20 Mar 2003 to 9 Dec 2005)
  • Katsuhiro Yoshinaga

    IRN KXY01054

    • CF30 Customer (1 Nov 2007 to 26 Sep 2011)
    • CF21 Investment Adviser (8 Aug 2006 to 31 Oct 2007)
  • Kazuaki Kiri

    IRN KXK00166

    • [FCA CF] Client dealing (20 Aug 2021 to 20 Jul 2024)
    • [FCA CF] Manager of certification employee (20 Aug 2021 to 20 Jul 2024)
  • Kazushi Hanami

    IRN KXH01873

    • CF30 Customer (26 Jul 2017 to 8 Dec 2019)
  • Kenichi Hosomi

    IRN KXH01476

    • CF1 Director (18 Sep 2012 to 11 Aug 2015)
  • Kenichi Morooka

    IRN KXM01203

    • CF1 Director (1 Dec 2001 to 9 Jun 2006)
  • Kenichi Takahashi

    IRN KXT01293

    • CF1 Director (1 Jul 2009 to 27 Apr 2012)
  • Kevin Lindsay

    IRN KXL21882

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Jan 2020 to 31 Mar 2023)
  • Kohei Yamaguchi

    IRN KXY00023

    • [FCA CF] Client dealing (22 Apr 2021 to 6 Feb 2023)
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Recent activity

Updates to this firm's record on the FCA register.

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