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.

• Peter Howard Sceats

  IRN PXS01521

  • CF30 Customer (10 Apr 2013 to 27 Jan 2017)
• Peter Martin Scorer

  IRN PMS01088

  • CF30 Customer (11 Apr 2018 to 30 Nov 2018)
• Peter Roberts

  IRN PXR01209

  • CF21 Investment Adviser (1 Dec 2001 to 14 May 2003)
• Peter Situ-Amoo

  IRN PXS00467

  • [FCA CF] Client dealing (11 Jan 2022 to 26 May 2022)
• Philip Llewellyn

  IRN PXL01556

  • SMF17 Money Laundering Reporting Officer (MLRO) (25 Aug 2023 to 12 Jan 2024)
  • SMF16 Compliance Oversight (24 Jun 2022 to 12 Jan 2024)
  • [FCA CF] Significant management (5 May 2021 to 1 Mar 2024)
• Philip Michael Abbott

  IRN PMA01019

  • CF21 Investment Adviser (19 Mar 2002 to 14 May 2002)
• Philip Regan

  IRN PXR01485

  • CF1 Director (23 May 2008 to 19 Mar 2010)
  • CF28 Systems and controls (23 May 2008 to 19 Mar 2010)
• Philipp Carlstroem

  IRN PXC00583

  • [FCA CF] Client dealing (since 2 Jan 2024)
• Philipp Sprenger

  IRN PXS01704

  • CF30 Customer (1 Nov 2007 to 31 Jul 2011)
  • CF21 Investment Adviser (7 Mar 2006 to 31 Oct 2007)
• Philippe Michel Louis Loustaunau

  IRN PML01059

  • CF30 Customer (22 Feb 2018 to 8 Dec 2019)

No changes recorded yet.