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

  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.

• Amy Chapman

  IRN AXC02250

  • SMF18 Other Overall Responsibility (since 24 Jan 2025)
  • [FCA CF] Material risk taker (31 Oct 2024 to 24 Jan 2025)
• Andre Zehnter

  IRN AXZ00037

  • [FCA CF] Material risk taker (9 Dec 2019 to 10 May 2020)
• Andrea Diane Doubtfire

  IRN ADD01023

  • [FCA CF] Client dealing (9 Dec 2019 to 28 Feb 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 28 Feb 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (22 Sep 2005 to 31 Oct 2007)
• Andreas George Zachariah

  IRN AGZ01005

  • CF22 Investment Adviser (Trainee) (21 Sep 2005 to 22 Sep 2005)
• Andreas Postert

  IRN AXP02072

  • CF30 Customer (20 Oct 2011 to 31 Jan 2016)
• Andrew Asbury

  IRN ACA01020

  • CF30 Customer (1 Nov 2007 to 25 Jul 2008)
  • CF29 Significant management (1 Nov 2007 to 25 Jul 2008)
  • CF1 Director (15 Mar 2004 to 25 Jul 2008)
  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Andrew Calvy

  IRN AXC01309

  • CF30 Customer (7 Dec 2010 to 7 Oct 2014)
• Andrew Douglas van den Aardweg

  IRN ADV01021

  • SMF1 Chief Executive (26 Aug 2021 to 9 Jun 2022)
  • SMF3 Executive Director (26 Aug 2021 to 9 Jun 2022)
  • SMF11 Chair of the Audit Committee (9 Dec 2019 to 19 Oct 2020)
  • SMF13 Chair of the Nominations Committee (9 Dec 2019 to 31 Mar 2024)
  • SMF9 Chair of the Governing Body (9 Dec 2019 to 31 Mar 2024)
  • CF2 Non Executive Director (15 May 2017 to 8 Dec 2019)
• Andrew Finnemore Capon

  IRN AFC01022

  • CF23 Corporate Finance Adviser (1 Dec 2001 to 10 Jul 2007)
• Andrew Martin Cope

  IRN AMC01090

  • CF30 Customer (30 Jan 2009 to 5 Mar 2010)

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

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

No changes recorded yet.