Daiwa Corporate Advisory Limited

• 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

• 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

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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, 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 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, 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 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.

• Joanna Mary Groves

  IRN JMG01108

  • CF23 Corporate Finance Adviser (1 Dec 2001 to 1 Jan 2007)
• Joel Francis Hope-Bell

  IRN JFH01032

  • CF1 Director (24 Apr 2012 to 31 Oct 2013)
  • CF30 Customer (21 Dec 2011 to 31 Oct 2013)
• John Farrugia

  IRN JXF01195

  • CF23 Corporate Finance Adviser (1 Dec 2001 to 20 Dec 2002)
• John Francis Milliot Newall

  IRN JFN01014

  • CF23 Corporate Finance Adviser (1 Dec 2001 to 30 Apr 2007)
• John Nener

  IRN JXN01090

  • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Jul 2005)
• John Paul Francis McGrath

  IRN JPM01145

  • CF1 Director (30 Jan 2009 to 22 Mar 2010)
  • CF30 Customer (30 Jan 2009 to 31 Mar 2013)
• Jonah Hendon

  IRN JXH01090

  • [FCA CF] Client dealing (since 22 Mar 2023)
• Jonathan Andrew Broome

  IRN JAB01370

  • CF1 Director (27 Nov 2008 to 1 May 2009)
  • CF30 Customer (27 Nov 2008 to 31 Dec 2010)
  • CF23 Corporate Finance Adviser (12 Oct 2004 to 19 Oct 2006)
• Jonathan Arrowsmith

  IRN JXA01380

  • CF1 Director (15 Jul 2012 to 19 Nov 2018)
  • CF30 Customer (1 Nov 2007 to 19 Nov 2018)
  • CF23 Corporate Finance Adviser (7 Oct 2004 to 31 Oct 2007)
• Jonathan Charles Gosselin Trower

  IRN JCT01046

  • SMF9 Chair of the Governing Body (since 9 Jun 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)

No changes recorded yet.