Daiwa Capital Markets Europe Limited

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FRN: 124490
Date authorised: 16 February 1990
Companies House: 01487359
Last scraped: 3 weeks ago

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Addresses

The contact details this firm has registered with the FCA.

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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

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
Show 1 limitation Hide limitations
- · 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
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.
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
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.
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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

Henry John Labron Snell
IRN HJS01035
- CF30 Customer (22 Apr 2008 to 28 Sep 2009)
Henry Roger Jacques Parker
IRN HRP01017
- [FCA CF] Material risk taker (9 Dec 2019 to 27 Jul 2022)
Hetal Mehta Jobanputra
IRN HXM01385
- CF30 Customer (14 Oct 2010 to 2 Sep 2011)
Hidekazu Harada
IRN HXH01097
- CF21 Investment Adviser (5 Nov 2002 to 17 Nov 2003)
- CF22 Investment Adviser (Trainee) (5 Nov 2002 to 5 Nov 2002)
Hideki Fujisaki
IRN HXF01038
- CF23 Corporate Finance Adviser (1 Dec 2001 to 22 Feb 2002)
Hidemi Tominaga
IRN HXT01210
- CF30 Customer (16 Aug 2011 to 13 Apr 2012)
Hidenobu Shirota
IRN HXS01180
- CF30 Customer (1 Nov 2007 to 18 Feb 2010)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
Hidetoshi Senda
IRN HXS01352
- CF29 Significant management (19 Nov 2007 to 22 Oct 2008)
- CF30 Customer (1 Nov 2007 to 22 Oct 2008)
- CF21 Investment Adviser (25 Jul 2006 to 31 Oct 2007)
Hideyuki Watanabe
IRN HXW01096
- CF30 Customer (7 Sep 2016 to 29 Jul 2019)
Hiroaki Kato
IRN HXK01070
- CF21 Investment Adviser (1 Dec 2001 to 4 Aug 2004)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Daiwa Institute of Research Europe Ltd (no longer appointed)
FRN 205898 · Appointed 2 Aug 1990 · Until 24 Aug 2009

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.

What it all means

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.