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

  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.

• 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.

• Kevin O'Neill

  IRN KXO01044

  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Apr 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Apr 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Kimi Nagai

  IRN KXN00085

  • [FCA CF] Client dealing (7 Jan 2022 to 27 Jul 2022)
  • [FCA CF] Material risk taker (7 Jan 2022 to 1 Apr 2022)
• Kiwon Han

  IRN KXH01160

  • CF30 Customer (11 Mar 2010 to 24 Jun 2010)
  • CF21 Investment Adviser (1 Dec 2001 to 17 Mar 2004)
• Kiyoshi Matsuba

  IRN KXM01232

  • CF1 Director (1 Dec 2001 to 27 Apr 2005)
  • CF21 Investment Adviser (1 Dec 2001 to 20 Mar 2002)
  • CF3 Chief Executive (1 Dec 2001 to 27 Apr 2005)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 27 Apr 2005)
• Koichi Aki

  IRN KXA09409

  • [FCA CF] Client dealing (9 Dec 2019 to 14 Nov 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 14 Nov 2021)
  • CF30 Customer (13 Dec 2018 to 8 Dec 2019)
• Koichi Goshiro

  IRN KXG01240

  • CF21 Investment Adviser (3 Feb 2006 to 22 Oct 2006)
  • CF22 Investment Adviser (Trainee) (3 Mar 2005 to 3 Feb 2006)
• Koji Takeuchi

  IRN KXT01083

  • CF1 Director (1 Dec 2001 to 5 Mar 2002)
• Koji Yanagita

  IRN KXY01129

  • CF30 Customer (6 Jan 2016 to 18 Jan 2019)
• Kota Ezawa

  IRN KXE01056

  • CF21 Investment Adviser (18 Nov 2003 to 13 Jul 2005)
  • CF22 Investment Adviser (Trainee) (28 May 2003 to 18 Nov 2003)
• Kotaro Mizuno

  IRN KXM01925

  • [FCA CF] Client dealing (since 6 Nov 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 16 Jun 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 16 Jun 2021)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 16 Jun 2021)
  • CF30 Customer (7 Dec 2013 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.