Daiwa Asset Management (Europe) Ltd

• Principal Place of Business

  5 King William Street

  London

  EC4N 7DA

  UNITED KINGDOM

  Phone

  +4402075977050

• Complaints Contact

  5th Floor

  5 King William Street

  London

  EC4N 7AX

  UNITED KINGDOM

  Phone

  +447849907462

• 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), Rolling spot forex contract, Share, 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.

• Authorised to Operate

  For Eligible Counterparty, Professional

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  • · 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), Rolling spot forex contract, Share, 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.

• Arranges Asset Safekeeping

  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), Rolling spot forex contract, Share, 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, 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), Rolling spot forex contract, Share, 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, 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), Rolling spot forex contract, Share, 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.

• Manages Your Portfolio

  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), Rolling spot forex contract, Share, 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.

• David Matthew Perry

  IRN DMP01122

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (13 May 2013 to 8 Dec 2019)
• Erich Berner

  IRN EXB01563

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (27 Jun 2014 to 8 Dec 2019)
  • CF10 Compliance Oversight (27 Jun 2014 to 8 Dec 2019)
• Gregor Martin James Smith

  IRN GMS01055

  • CF30 Customer (2 Jan 2008 to 8 Dec 2019)
• Gregor Rapprich

  IRN GXR01171

  • CF30 Customer (29 Oct 2012 to 8 Dec 2019)
• HIROYUKI CHIDA

  IRN HXC01440

  • CF2 Non Executive Director (9 May 2018 to 2 Sep 2019)
• Harry Charles Thomas

  IRN HCT01017

  • CF30 Customer (24 Apr 2019 to 8 Dec 2019)
• Hirokazu Akakura

  IRN HXA01073

  • CF21 Investment Adviser (20 Jun 2002 to 28 Feb 2003)
  • CF13 Finance (15 May 2002 to 28 Feb 2003)
• Hiroki Terao

  IRN HXT01032

  • CF2 Non Executive Director (18 Nov 2003 to 31 Mar 2004)
• Hiroshi Noriishi

  IRN HXN01105

  • CF2 Non Executive Director (26 Sep 2008 to 1 Jul 2014)
• ISAHO NAKASHO

  IRN IXN01137

  • [FCA CF] Significant management (9 Dec 2019 to 22 Aug 2022)
  • SMF1 Chief Executive (9 Dec 2019 to 22 Aug 2022)
  • SMF3 Executive Director (9 Dec 2019 to 22 Aug 2022)
  • CF30 Customer (12 Oct 2018 to 8 Dec 2019)
  • CF3 Chief Executive (5 Jul 2018 to 8 Dec 2019)
  • CF1 Director (5 Jul 2018 to 8 Dec 2019)

No changes recorded yet.