SMBC Derivative Products Limited

Date authorised
1 April 2013
Companies House
02988637
Last scraped
3 weeks ago
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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.

  • Mitsugu Serizawa

    IRN MXS02187

    • CF1 Director (2 Nov 2005 to 15 Jun 2009)
  • Mitsuhiro Akiyama

    IRN MXA01940

    • CF1 Director (24 Apr 2009 to 27 Apr 2012)
  • Miyuki Muroi

    IRN MXM01894

    • CF21 Investment Adviser (1 Jun 2004 to 15 Mar 2006)
  • Muni Niraj

    IRN MXN01333

    • CF30 Customer (10 Dec 2007 to 29 Jan 2009)
  • Naoki Okubo

    IRN NXO01166

    • SMF3 Executive Director (9 Dec 2019 to 1 Apr 2020)
    • CF1 Director (3 Aug 2017 to 8 Dec 2019)
  • Naoya Miyagaki

    IRN NXM01686

    • CF1 Director (25 Oct 2012 to 21 Nov 2014)
  • Naoyuki Kawamoto

    IRN NXK01044

    • CF1 Director (1 Dec 2001 to 5 Apr 2004)
  • Nicholas James Pheasant

    IRN NJP01068

    • [FCA CF] Manager of certification employee (9 Dec 2019 to 12 Feb 2020)
    • [FCA CF] Client dealing (9 Dec 2019 to 12 Feb 2020)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Nicholas Paul Clinton

    IRN NPC01042

    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Nico Richter

    IRN NXR00400

    • [FCA CF] Client dealing (since 24 Mar 2026)
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Recent activity

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

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