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.

• Warren Philip Ash

  IRN WPA01003

  • [FCA CF] Client dealing (31 Mar 2021 to 31 Jul 2023)
  • CF30 Customer (16 Aug 2019 to 8 Dec 2019)
• Wesley Francis Hunt

  IRN WFH01007

  • CF21 Investment Adviser (25 Aug 2005 to 15 Jun 2006)
• William Aldridge

  IRN WXA00111

  • [FCA CF] Client dealing (since 11 Dec 2024)
• William Boggan

  IRN WXB01233

  • [FCA CF] Manager of certification employee (5 Mar 2021 to 31 Jul 2021)
  • [FCA CF] Client dealing (5 Mar 2021 to 31 Jul 2021)
  • CF30 Customer (14 Dec 2018 to 8 Dec 2019)
• William Fawdry

  IRN WXF00052

  • [FCA CF] Client dealing (since 17 May 2022)
• William Pierre Francois Norbert Wostyn

  IRN WPW01008

  • SMF12 Chair of the Remuneration Committee (9 Dec 2019 to 11 Jul 2023)
  • SMF13 Chair of the Nominations Committee (9 Dec 2019 to 11 Jul 2023)
  • CF2 Non Executive Director (13 Aug 2008 to 8 Dec 2019)
• William Smith

  IRN WXS01256

  • [FCA CF] Client dealing (since 12 Jan 2021)
  • CF30 Customer (12 Dec 2012 to 8 Dec 2019)
• William St John Hall

  IRN WSH01019

  • [FCA CF] Client dealing (1 Sep 2021 to 1 Sep 2022)
• Xavier Paul Ktorza

  IRN XPK01000

  • CF30 Customer (1 Nov 2007 to 15 Feb 2008)
  • CF21 Investment Adviser (3 Jan 2006 to 31 Oct 2007)
• Yann Yvon Gabriel L'Huillier

  IRN YXL25784

  • SMF24 Chief Operations (17 Jul 2020 to 3 Jan 2023)

No changes recorded yet.