Daiwa Capital Markets Europe Limited

• Principal Place of Business

  5 King William Street

  London

  EC4N 7DA

  UNITED KINGDOM

  Phone

  +4402075978000

  Web

  https://www.uk.daiwacm.com

• Complaints Contact

  5 King William Street

  London

  EC4N 7DA

  UNITED KINGDOM

  Phone

  +442075978922

• 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, Spread Bet, 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

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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, Spread Bet, Unit, Warrant

  Show 2 limitations 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.
  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "share", "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• 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, Life Policy, 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, Spread Bet, 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, Spread Bet, 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.

• Trades With You Directly

  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, Spread Bet, 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, Spread Bet, Unit, Warrant

  Show 2 limitations 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.
  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "share", "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• Holds Your Assets

  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, Life Policy, 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, Spread Bet, 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.

• Christopher Paul Michael Brown

  IRN CPB01039

  • CF29 Significant management (22 Sep 2011 to 31 Mar 2016)
  • CF30 Customer (1 Nov 2007 to 31 Mar 2016)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Christopher Paul Owen

  IRN CPO01008

  • CF30 Customer (23 Aug 2011 to 29 Feb 2012)
• Christopher Philip Scicluna

  IRN CPS01072

  • [FCA CF] Client dealing (since 22 Jul 2025)
  • [FCA CF] Material risk taker (9 Dec 2019 to 27 Jul 2022)
  • CF30 Customer (1 Nov 2007 to 3 Oct 2019)
  • CF21 Investment Adviser (7 Dec 2005 to 31 Oct 2007)
• Chunwoo Park

  IRN CXP24035

  • [FCA CF] Manager of certification employee (since 22 Apr 2021)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 1 Apr 2022)
  • CF30 Customer (20 Nov 2019 to 8 Dec 2019)
• Claire Wendy Moorhouse

  IRN CWM01036

  • CF21 Investment Adviser (31 Oct 2005 to 3 Aug 2007)
• Clare Mulcahy

  IRN CXM76952

  • [FCA CF] Material risk taker (since 28 Nov 2024)
• Clarke James Antony Pitts

  IRN CJP01124

  • CF30 Customer (22 May 2008 to 26 Nov 2010)
• Clinton Dale Orr

  IRN CDO01009

  • CF21 Investment Adviser (1 Dec 2001 to 24 Aug 2004)
• Clive Stephen Ellingham

  IRN CSE01007

  • CF30 Customer (1 Nov 2007 to 1 Nov 2010)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Colin Coventry Henderson

  IRN CCH01053

  • [FCA CF] Material risk taker (10 Jun 2021 to 22 Jun 2023)
  • SMF5 Head of Internal Audit (9 Dec 2019 to 28 May 2021)
  • CF28 Systems and controls (15 Sep 2008 to 8 Dec 2019)

• Daiwa Institute of Research Europe Ltd (no longer appointed)

  FRN 205898 · Appointed 2 Aug 1990 · Until 24 Aug 2009

No changes recorded yet.