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

  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.

• 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.

• Kiyoharu Fujioka

  IRN FXK01182

  • SMF1 Chief Executive (22 Aug 2022 to 2 Mar 2026)
  • SMF9 Chair of the Governing Body (22 Aug 2022 to 2 Mar 2026)
  • CF30 Customer (26 Feb 2014 to 16 May 2019)
• Kiyoshige Uesugi

  IRN KXU01020

  • CF30 Customer (1 Nov 2007 to 14 Nov 2011)
  • CF27 Investment Management (18 May 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (18 May 2007 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (19 Mar 2007 to 18 May 2007)
• Koichiro Sekiguchi

  IRN KXS01547

  • CF2 Non Executive Director (15 Jun 2007 to 31 Oct 2012)
• Koji Kitazawa

  IRN KXK01124

  • CF2 Non Executive Director (1 Dec 2001 to 28 Feb 2003)
• MASASHI IMACHI

  IRN MXI16845

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jun 2022)
  • CF30 Customer (15 Jul 2019 to 8 Dec 2019)
• Masahide Ito

  IRN MXI01132

  • CF30 Customer (17 Jan 2008 to 9 Jun 2011)
• Masahiro Hotchi

  IRN MXH01910

  • CF2 Non Executive Director (1 Nov 2006 to 1 May 2009)
• Masaru Arai

  IRN MXA01168

  • CF2 Non Executive Director (1 Dec 2001 to 28 Feb 2003)
• Mayooran Perinpanathan

  IRN MXP02262

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Oct 2025)
  • CF30 Customer (9 Jan 2019 to 8 Dec 2019)
• Michael Delefes

  IRN MXD01958

  • [FCA CF] Client dealing (since 1 Dec 2023)

No changes recorded yet.