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.

• Nicolas Gregoriou

  IRN NXG00305

  • [FCA CF] Client dealing (since 10 Jun 2024)
• Nikita Jevtechov

  IRN NXJ01291

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (12 Nov 2015 to 8 Dec 2019)
• Philip Roland Coward

  IRN PRC01087

  • CF30 Customer (1 Nov 2007 to 19 Apr 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Reuben Dyce

  IRN RXD00318

  • [FCA CF] Client dealing (since 28 Apr 2022)
• Richard Edward Davies

  IRN RED01021

  • CF28 Systems and controls (8 Sep 2015 to 8 Dec 2019)
• Richard Hall

  IRN RXH01684

  • [FCA CF] Client dealing (9 Dec 2019 to 17 May 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 17 May 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (30 Oct 2007 to 31 Oct 2007)
• Risa Azehara

  IRN RXA00221

  • [FCA CF] Client dealing (since 6 Aug 2021)
• Roger Stephen McCormick

  IRN RSM01119

  • CF2 Non Executive Director (7 Dec 2006 to 8 Dec 2019)
• Roger Stephen McCormick

  IRN RXM01030

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 13 Dec 2024)
• Ronak Chitroda

  IRN RNC01037

  • [FCA CF] Client dealing (since 10 May 2024)

No changes recorded yet.