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

  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.

• 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.

• Charles Tuttle

  IRN CXT00190

  • [FCA CF] Client dealing (9 Dec 2019 to 29 Nov 2024)
• Charlotte Pooley

  IRN CXP00289

  • [FCA CF] Client dealing (1 Apr 2020 to 20 Jun 2024)
• Christopher Bryn Evans

  IRN CBE01006

  • CF23 Corporate Finance Adviser (29 Jul 2003 to 24 Jun 2004)
• Christopher Guy Desmond Lewey

  IRN CGL01009

  • CF1 Director (1 Dec 2001 to 14 Sep 2006)
  • CF21 Investment Adviser (1 Dec 2001 to 14 Sep 2006)
• Christopher James Gornall

  IRN CJG01179

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (14 May 2014 to 8 Dec 2019)
• Christopher March Clayton

  IRN CXC01295

  • CF30 Customer (13 May 2008 to 1 Oct 2009)
• Christopher Merchant

  IRN CXM00959

  • [FCA CF] Client dealing (29 Sep 2023 to 4 Sep 2024)
• Christopher Noel Strong

  IRN CNS01009

  • CF15 Internal Audit (30 Jan 2003 to 14 May 2007)
• Christopher Quayle

  IRN CMQ01006

  • [FCA CF] Manager of certification employee (since 2 May 2023)
  • [FCA CF] Client dealing (since 9 Dec 2019)
• Ciara Anne O'Neill

  IRN CAO01028

  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • CF1 Director (19 Apr 2012 to 8 Dec 2019)
  • CF30 Customer (9 Nov 2011 to 8 Dec 2019)

No changes recorded yet.