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.

• Tadashi Kitahara

  IRN TXK01426

  • CF2 Non Executive Director (5 Jun 2014 to 10 Dec 2015)
• Tadayuki Ozaki

  IRN TXO01139

  • CF28 Systems and controls (1 Nov 2007 to 9 Jun 2011)
  • CF30 Customer (1 Nov 2007 to 9 Jun 2011)
  • CF10 Compliance Oversight (1 Jun 2007 to 21 Jan 2008)
  • CF13 Finance (1 Sep 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (13 Dec 2005 to 31 Oct 2007)
  • CF27 Investment Management (13 Dec 2005 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (15 Oct 2005 to 13 Dec 2005)
• Takahiro Ishizuka

  IRN TXI01105

  • CF30 Customer (4 Feb 2011 to 7 Nov 2012)
• Teiji Seki

  IRN TXS01292

  • CF2 Non Executive Director (31 Mar 2004 to 19 May 2005)
• Tetsuo Tanegashima

  IRN TXT01159

  • CF2 Non Executive Director (4 Feb 2003 to 1 Nov 2006)
• Tomokazu Nebu

  IRN TXN01320

  • CF2 Non Executive Director (15 Nov 2017 to 26 Oct 2018)
• Toshihiro Fujikawa

  IRN TXF01124

  • CF2 Non Executive Director (10 Jun 2005 to 25 Feb 2006)
• Toshiya Katayanagi

  IRN TXK01298

  • CF2 Non Executive Director (23 Mar 2010 to 10 Sep 2010)
• Tsuneto Kamozaki

  IRN TXK01157

  • CF2 Non Executive Director (28 Feb 2003 to 19 Mar 2004)
• Wataru Araiso

  IRN WXA01019

  • CF27 Investment Management (29 Feb 2004 to 6 Jul 2007)
  • CF10 Compliance Oversight (15 May 2002 to 1 Jun 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 6 Jul 2007)
  • CF13 Finance (1 Dec 2001 to 15 May 2002)

No changes recorded yet.