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.

• Stephen Thomas Davies

  IRN STD01025

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jul 2021)
• Stephen William Aulsebrook

  IRN SWA01005

  • CF3 Chief Executive (13 Nov 2008 to 27 Sep 2010)
  • CF30 Customer (1 Nov 2007 to 27 Sep 2010)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 27 Sep 2010)
• Stewart Reynolds

  IRN SXR01240

  • CF23 Corporate Finance Adviser (1 Dec 2001 to 17 Mar 2006)
• Sukhdeep Jagait

  IRN SXJ01417

  • CF30 Customer (13 May 2014 to 24 Nov 2015)
• Suli Chen

  IRN SXC01892

  • CF30 Customer (26 Sep 2013 to 3 Apr 2017)
• Susanne Karolina Meier

  IRN SKM01081

  • CF30 Customer (29 Jun 2018 to 29 Aug 2019)
• Takayuki Takayuki

  IRN TXT00312

  • [FCA CF] Client dealing (since 13 Apr 2026)
• Tanguy Liem Jean-Baptiste Francois

  IRN TLF01024

  • CF30 Customer (16 Jun 2016 to 9 Feb 2017)
• Tara Stowe

  IRN TXS02184

  • [FCA CF] Client dealing (9 Dec 2019 to 7 Sep 2024)
  • CF30 Customer (6 Jan 2018 to 8 Dec 2019)
• Taro Kanai

  IRN TXK01256

  • CF30 Customer (13 Aug 2009 to 14 May 2014)

No changes recorded yet.