Daiwa Corporate Advisory Limited

Date authorised
1 April 2013
Companies House
03067616
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
    +4402078560999
    Web
    https://www.dcadvisory.com

  • Complaints Contact

    5 King William Street
    London
    EC4N 7DA
    UNITED KINGDOM
    Phone
    +4402078560999

What this firm is allowed to do

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

  • P2P Lending Advice

    For Eligible Counterparty, Professional, Retail (Investment)

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), 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), Share, Unit, Warrant

    Show 1 limitation
    • · 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
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), 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), Share, Unit, Warrant

    Show 1 limitation
    • · 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, Retail (Investment), Certificates representing certain security, 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), 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), Share, Unit, Warrant

    Show 1 limitation
    • · 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.

  • James Lewis Kingon Pople

    IRN JLP01124

    • [FCA CF] Client dealing (9 Dec 2019 to 29 Nov 2024)
    • CF30 Customer (11 Sep 2012 to 8 Dec 2019)
  • James Russell Davies

    IRN JRD01061

    • CF23 Corporate Finance Adviser (1 Dec 2001 to 23 Jun 2006)
  • James Walter Hilton

    IRN JWH01060

    • CF1 Director (1 Dec 2001 to 1 Aug 2002)
    • CF21 Investment Adviser (1 Dec 2001 to 1 Aug 2002)
  • James Wanless

    IRN JXW00557

    • [FCA CF] Client dealing (5 Jul 2021 to 28 Aug 2024)
  • James William Butcher

    IRN JWB01171

    • CF30 Customer (15 Jul 2008 to 29 Dec 2010)
  • James William Whittington

    IRN JWW01102

    • CF30 Customer (29 May 2008 to 30 Sep 2009)
  • Janet Irene Carey

    IRN JIC01016

    • CF11 Money Laundering Reporting (16 Jan 2012 to 31 Dec 2014)
    • CF1 Director (16 Jan 2012 to 31 Dec 2014)
    • CF10 Compliance Oversight (16 Jan 2012 to 31 Dec 2014)
  • Jarek Steadman

    IRN JXS03891

    • [FCA CF] Client dealing (24 Jul 2023 to 31 Aug 2024)
  • Jason Charles Cale

    IRN JCC01080

    • CF23 Corporate Finance Adviser (1 Dec 2001 to 1 Aug 2002)
  • Jason Granite

    IRN JXG01444

    • CF23 Corporate Finance Adviser (12 Aug 2002 to 1 May 2003)
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Recent activity

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

No changes recorded yet.