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.

• William Kirton

  IRN WSK01002

  • CF30 Customer (1 Nov 2007 to 8 Jun 2011)
  • CF21 Investment Adviser (20 Aug 2007 to 31 Oct 2007)
  • CF27 Investment Management (20 Aug 2007 to 31 Oct 2007)
• YORIHISHO SUGIBAYASHI

  IRN YXS01280

  • CF2 Non Executive Director (10 Dec 2015 to 15 Nov 2017)
• YOSHIHIRO HORINOUCHI

  IRN YXH01204

  • CF30 Customer (19 Jun 2017 to 8 Dec 2019)
  • CF1 Director (16 Jun 2017 to 26 Oct 2018)
• YUKIKO KANAI

  IRN YXK00113

  • Director of firm who is not a certification employee or a SMF manager (since 20 Nov 2025)
• Yohan Choi

  IRN YXC01064

  • CF1 Director (1 Nov 2012 to 28 Sep 2015)
  • CF30 Customer (3 Nov 2009 to 28 Sep 2015)
• Yohei Ishii

  IRN YXI01065

  • CF30 Customer (1 Mar 2012 to 8 Sep 2016)
• Yoshihiro Hasegawa

  IRN YXH01115

  • CF2 Non Executive Director (27 Aug 2010 to 24 Aug 2011)
• Yoshihiro Hashimoto

  IRN YXH01013

  • CF2 Non Executive Director (1 Dec 2001 to 14 Nov 2003)
• Yoshinori Okada

  IRN YXO01067

  • CF2 Non Executive Director (31 Oct 2016 to 9 May 2018)
  • CF10 Compliance Oversight (7 Mar 2014 to 30 Jun 2014)
  • CF11 Money Laundering Reporting (30 Aug 2011 to 11 Nov 2011)
  • CF3 Chief Executive (30 Aug 2011 to 22 Apr 2016)
  • CF1 Director (30 Aug 2011 to 22 Apr 2016)
• Yuki Higaki

  IRN YXH01131

  • CF1 Director (30 Oct 2015 to 16 Jun 2017)
  • CF30 Customer (30 Aug 2011 to 30 Aug 2017)

No changes recorded yet.