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

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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.

• Misaki Kelly

  IRN MSK01026

  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (30 Sep 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (3 Apr 2002 to 31 Oct 2007)
• NAOHIKO NISHIBAYASHI

  IRN NXN01287

  • CF2 Non Executive Director (10 Dec 2015 to 26 Oct 2018)
• Noriaki Matsui

  IRN NXM01116

  • CF30 Customer (18 Aug 2008 to 11 May 2012)
• Osamu Yamashita

  IRN OXY01003

  • CF2 Non Executive Director (22 Apr 2009 to 1 Dec 2010)
  • CF30 Customer (1 Nov 2007 to 15 Aug 2008)
  • CF27 Investment Management (29 Feb 2004 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2001 to 15 Aug 2008)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 15 Aug 2008)
  • CF1 Director (1 Dec 2001 to 15 Aug 2008)
• Oskar Stachowiak

  IRN OXS01081

  • CF30 Customer (17 Dec 2007 to 13 Jul 2012)
• Paul David Charles Lockey

  IRN PDL01060

  • CF30 Customer (6 Feb 2008 to 30 Sep 2010)
• Reece Paul Jarvis

  IRN RPJ01029

  • CF30 Customer (7 Jul 2008 to 2 Nov 2012)
• SHINTARO FURUKAWA

  IRN SXF00420

  • Director of firm who is not a certification employee or a SMF manager (since 6 Jul 2023)
• SHUHEI FUNAI

  IRN SXF00210

  • [FCA CF] Functions requiring qualifications (18 Dec 2019 to 13 Oct 2023)
• Satoshi Sakae

  IRN SXS01290

  • CF10 Compliance Oversight (1 Dec 2001 to 15 May 2002)
  • CF21 Investment Adviser (1 Dec 2001 to 15 May 2002)

No changes recorded yet.