TFS Derivatives Limited

• Principal Place of Business

  Salesforce

  110 Bishopsgate

  London

  City Of London

  EC2N 4AY

  UNITED KINGDOM

  Phone

  +4402071981500

  Web

  https://www.tradition.com

• Complaints Contact

  Salesforce

  110 Bishopsgate

  London

  City Of London

  EC2N 4AY

  UNITED KINGDOM

  Phone

  +4402071981500

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, 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

• Authorised to Operate

  For Eligible Counterparty, Professional

  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, 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.

• Stockbroking

  For Eligible Counterparty, Professional, 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 (contractually based)" is limited to investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, 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 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · May only deal on own account in MiFID financial instruments for the purpose of (i) fulfilling or executing a client order or (ii) gaining entrance to a clearing and settlement system or a recognised exchange when acting in an agency capacity or executing a client order.”

• Investment Setup

  For Eligible Counterparty, Professional, 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.

• Nicholas Brian Kennedy

  IRN NBK01003

  • CF26 Customer Trading (1 Dec 2001 to 10 Jun 2003)
  • CF21 Investment Adviser (1 Dec 2001 to 10 Jun 2003)
• Nicholas John Robbins

  IRN NXR01372

  • [FCA CF] Client dealing (4 Jan 2021 to 27 Oct 2022)
• Nicholas Leonard Williams

  IRN NLW01027

  • CF30 Customer (22 Oct 2012 to 30 Jun 2014)
• Nicholas Philip Mark Wood

  IRN NPW01063

  • [FCA CF] Client dealing (19 Jul 2021 to 5 May 2022)
• Nicholas Taylor

  IRN NXT01184

  • [FCA CF] Client dealing (12 Mar 2021 to 31 Jul 2024)
• Nick Alan Wise

  IRN NAW01116

  • [FCA CF] Client dealing (4 Jan 2021 to 1 Feb 2023)
• Nicki Robinson

  IRN NJE01058

  • CF30 Customer (25 Apr 2013 to 5 Aug 2016)
• Nicky Jennings

  IRN NXJ01130

  • CF30 Customer (22 Oct 2012 to 30 Sep 2013)
• Nicloas Flores

  IRN NXF01150

  • CF30 Customer (1 Nov 2007 to 26 Jan 2010)
  • CF21 Investment Adviser (28 Jun 2005 to 31 Oct 2007)
  • CF26 Customer Trading (28 Feb 2005 to 28 Jun 2005)
• Nicolas Benoit Pastor

  IRN NBP01012

  • CF30 Customer (11 Nov 2008 to 30 Jun 2018)

No changes recorded yet.