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

  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.

• 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.

• Ellen Hastings-Jones

  IRN EXH00076

  • [FCA CF] Material risk taker (since 17 Dec 2024)
• Emi Endoh

  IRN EXE01045

  • CF21 Investment Adviser (18 Nov 2003 to 7 Apr 2004)
  • CF22 Investment Adviser (Trainee) (16 Jun 2003 to 18 Nov 2003)
• Emilie Wong Lun Shing

  IRN EXW01158

  • CF30 Customer (1 Nov 2007 to 9 Dec 2011)
  • CF22 Investment Adviser (Trainee) (14 May 2007 to 31 Oct 2007)
• Emily Sutton

  IRN EXN01059

  • [FCA CF] Client dealing (since 3 Sep 2025)
  • CF30 Customer (1 Nov 2007 to 3 Oct 2019)
  • CF21 Investment Adviser (26 Jan 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (8 Dec 2005 to 26 Jan 2006)
• Emma Arnold

  IRN EXA77735

  • SMF18 Other Overall Responsibility (27 Jul 2020 to 11 Mar 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 26 Jul 2020)
  • [FCA CF] Material risk taker (9 Dec 2019 to 26 Jul 2020)
• Eri Palmer

  IRN EXP01096

  • CF22 Investment Adviser (Trainee) (6 Jan 2003 to 22 Sep 2005)
• Errol Reynold David

  IRN ERD01007

  • CF21 Investment Adviser (17 Jan 2005 to 28 Sep 2007)
• Esther Yang

  IRN EXY01047

  • CF30 Customer (2 Mar 2012 to 12 Oct 2012)
• Ewa Irena Kerin

  IRN EIK33401

  • SMF10 Chair of the Risk Committee (since 29 Jan 2024)
  • SMF14 Senior Independent Director (since 30 Jul 2021)
  • SMF11 Chair of the Audit Committee (since 24 Sep 2020)
• FREDERIC VOLPE

  IRN FXV01119

  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Sep 2020)
  • CF30 Customer (25 Jan 2017 to 18 Jan 2019)

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

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

No changes recorded yet.