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.

• Paulos Zerezghi

  IRN PXZ00011

  • [FCA CF] Client dealing (4 May 2021 to 31 Jan 2023)
• Peter Francis Alcaraz

  IRN PFA01005

  • CF30 Customer (1 Nov 2007 to 16 Apr 2010)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 22 Mar 2010)
• Peter Hellyer Marshall

  IRN PHM01034

  • CF1 Director (1 Dec 2001 to 31 Jan 2003)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Jan 2003)
• Peter James Augar

  IRN PJA01113

  • [FCA CF] Manager of certification employee (15 May 2023 to 31 Mar 2025)
  • [FCA CF] Client dealing (1 Nov 2021 to 31 Mar 2025)
• Peter Leslie Winkworth

  IRN PLW01018

  • CF2 Non Executive Director (1 Dec 2001 to 30 Jul 2004)
• Peter Owen Sung-Mok Park

  IRN POP01001

  • CF30 Customer (1 Nov 2007 to 31 Jul 2008)
  • CF23 Corporate Finance Adviser (6 Jul 2006 to 31 Oct 2007)
• Philip Creed

  IRN PCC01079

  • [FCA CF] Client dealing (10 May 2021 to 30 Jun 2022)
• Philip Eades

  IRN PXE01297

  • [FCA CF] Client dealing (9 Dec 2019 to 19 Aug 2021)
  • CF30 Customer (19 Jan 2018 to 8 Dec 2019)
• Philip Gordon Peter Chapman

  IRN PGC01083

  • CF10 Compliance Oversight (20 Nov 2008 to 8 Dec 2009)
• Philipp Alfred Gutzwiller

  IRN PAG01121

  • CF1 Director (23 Apr 2012 to 28 Feb 2014)
  • CF30 Customer (26 Jul 2011 to 28 Feb 2014)

No changes recorded yet.