DWS Alternatives Global Limited

• Principal Place of Business

  45 Cannon Street

  London

  EC4M 5SB

  UNITED KINGDOM

  Phone

  +442075458000

  Web

  https://www.dws.com/en-gb/capabilities/alternatives/

• Complaints Contact

  45 Cannon Street

  London

  United Kingdom

  EC4M 5SB

  UNITED KINGDOM

  Phone

  +442075458000

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Government and public security, 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), Rolling spot forex contract, Share, Spread Bet, 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 Commercial, Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Government and public security, 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), Rolling spot forex contract, Share, Spread Bet, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Government and public security, 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), Rolling spot forex contract, Share, Spread Bet, 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.

• Runs Investment Funds

• Investment Setup

  For Commercial, Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Government and public security, 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), Rolling spot forex contract, Share, Spread Bet, 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.

• Private Investment Funds

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Government and public security, 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), Rolling spot forex contract, Share, Spread Bet, 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.

• Jordan Shaun Sawkin

  IRN JSS01211

  • [FCA CF] Client dealing (9 Dec 2019 to 29 Apr 2020)
  • CF30 Customer (6 Jul 2017 to 8 Dec 2019)
• Juan Ignacio Gomez Vega

  IRN JIG01016

  • CF30 Customer (9 Sep 2010 to 17 Jan 2014)
• Julia Rosa Ricarda Drell

  IRN JRD01171

  • SMF17 Money Laundering Reporting Officer (MLRO) (7 Jul 2021 to 21 Jan 2022)
  • SMF16 Compliance Oversight (9 Dec 2019 to 21 Jan 2022)
  • CF10 Compliance Oversight (26 Jan 2018 to 8 Dec 2019)
• Julian James McKenzie-Smith

  IRN JJM01310

  • CF30 Customer (21 Dec 2017 to 18 Sep 2018)
• Julien Merheb

  IRN JXM03124

  • CF30 Customer (18 Dec 2015 to 13 Sep 2019)
• Julien Scarpa

  IRN JXS03707

  • CF30 Customer (22 Feb 2017 to 6 Sep 2019)
• Justin Paul Curlow

  IRN JPC01230

  • CF30 Customer (20 Dec 2010 to 6 Apr 2011)
• Karan Sarda

  IRN KXS01620

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 10 Jan 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 10 Jan 2020)
  • CF30 Customer (13 Mar 2019 to 8 Dec 2019)
• Katie Lin

  IRN KXL01279

  • [FCA CF] Client dealing (2 Sep 2021 to 14 Apr 2023)
  • CF30 Customer (25 Aug 2017 to 8 Dec 2019)
• Keith McDonald Falconer

  IRN KMF01056

  • CF11 Money Laundering Reporting (13 Mar 2018 to 4 Dec 2018)

No changes recorded yet.