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.

• Ross Hamilton Phillpotts

  IRN RHP01027

  • CF30 Customer (15 Oct 2008 to 20 Dec 2010)
• Rouzbeh Faramarzian

  IRN RXF00110

  • SMF16 Compliance Oversight (23 Jul 2024 to 22 Jan 2026)
  • SMF17 Money Laundering Reporting Officer (MLRO) (23 Jul 2024 to 22 Jan 2026)
  • SMF4 Chief Risk (23 Jul 2024 to 22 Jan 2026)
  • [FCA CF] Material risk taker (9 Dec 2019 to 27 Jul 2022)
• Roxana Aldulea

  IRN RXA72218

  • [FCA CF] Client dealing (since 26 Apr 2021)
  • [FCA CF] Material risk taker (26 Apr 2021 to 1 Apr 2022)
• Roxanna Volkova

  IRN RXV01107

  • CF22 Investment Adviser (Trainee) (24 Jan 2006 to 4 May 2007)
• Rukhsana Ahmed

  IRN RXA01134

  • CF21 Investment Adviser (1 Dec 2001 to 31 Aug 2005)
• Russell Edward Betteridge

  IRN REB01102

  • CF30 Customer (19 Nov 2010 to 7 Oct 2014)
• Ryo Sakaguchi

  IRN RXS00747

  • [FCA CF] Client dealing (13 Sep 2022 to 15 Nov 2024)
• Ryo Sasajima

  IRN RXS01952

  • CF30 Customer (26 Feb 2008 to 22 Sep 2010)
• Ryusuke Kurihara

  IRN RXK01482

  • [FCA CF] Client dealing (since 23 Apr 2024)
  • [FCA CF] Manager of certification employee (since 23 Apr 2024)
  • [FCA CF] Significant management (since 23 Apr 2024)
  • [FCA CF] Material risk taker (since 23 Apr 2024)
  • CF30 Customer (29 Dec 2010 to 19 Apr 2016)
• SHUNSUKE NISHIO

  IRN SXN01786

  • [FCA CF] Material risk taker (9 Dec 2019 to 1 Apr 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 10 Nov 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 10 Nov 2023)
  • CF30 Customer (6 Dec 2017 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.