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.

• Richard Gardner-Brown

  IRN RXG00185

  • [FCA CF] Client dealing (since 9 May 2022)
• Richard George Andre Holyoake

  IRN RGH01050

  • CF30 Customer (1 Nov 2007 to 5 Apr 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Richard Ian Webster

  IRN RIW01018

  • CF30 Customer (22 Oct 2012 to 8 Dec 2019)
• Richard James Collins

  IRN RJC01359

  • [FCA CF] Client dealing (since 8 Jan 2021)
  • CF30 Customer (22 Oct 2012 to 8 Dec 2019)
• Richard John Leighton

  IRN RJL01097

  • SMF18 Other Overall Responsibility (29 Jun 2020 to 9 Sep 2024)
  • CF30 Customer (26 Oct 2017 to 8 Dec 2019)
• Richard John Seager

  IRN RJS01200

  • CF21 Investment Adviser (30 Nov 2005 to 24 Jun 2006)
• Richard Lewis

  IRN RXL01236

  • CF30 Customer (29 May 2013 to 26 Sep 2019)
• Richard Martin Gronow

  IRN RMG01047

  • [FCA CF] Client dealing (4 Dec 2020 to 30 Jun 2024)
• Richard Norman Lockhart-Smith

  IRN RNL01010

  • CF21 Investment Adviser (10 Apr 2002 to 31 Jul 2002)
• Richard Stephen Albon

  IRN RSA01030

  • [FCA CF] Client dealing (since 18 Feb 2021)
  • CF30 Customer (8 May 2019 to 8 Dec 2019)

No changes recorded yet.