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.

  • Matthew Bain

    IRN MXB00596

    • [FCA CF] Client dealing (11 Jan 2021 to 13 Sep 2021)
  • Matthew Downie Bridge

    IRN MXB01902

    • CF23 Corporate Finance Adviser (26 Mar 2003 to 25 May 2004)
  • Matthew James Taylor

    IRN MJT01212

    • CF30 Customer (1 Nov 2007 to 21 Aug 2017)
    • CF23 Corporate Finance Adviser (7 Sep 2007 to 31 Oct 2007)
  • Matthew John Wiseman

    IRN MJW01499

    • CF30 Customer (14 May 2008 to 31 Jul 2008)
  • Matthew Jones

    IRN MXJ00465

    • [FCA CF] Client dealing (since 1 Apr 2024)
  • Matthew Parker

    IRN MXP09989

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (17 May 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (17 May 2019 to 8 Dec 2019)
  • Matthew Robert Prest

    IRN MRP01088

    • CF30 Customer (1 Nov 2007 to 23 Jul 2009)
    • CF1 Director (16 Nov 2004 to 23 Jul 2009)
    • CF23 Corporate Finance Adviser (16 Nov 2004 to 31 Oct 2007)
  • Maxime Hagelstein

    IRN MXH00458

    • [FCA CF] Client dealing (9 Jan 2023 to 16 Sep 2025)
  • Maximilian O'Connell

    IRN MXO10004

    • CF30 Customer (8 Jan 2019 to 8 Dec 2019)
  • Mayank Kanga

    IRN MXK01678

    • CF30 Customer (1 Feb 2008 to 3 Sep 2010)
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Recent activity

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

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