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

  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

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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

  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.

• 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

  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.

• 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.

• Stephen James Thomas Shaw

  IRN SJS01286

  • SMF9 Chair of the Governing Body (12 Jun 2020 to 7 Sep 2021)
  • SMF3 Executive Director (9 Dec 2019 to 8 Jan 2023)
  • CF29 Significant management (1 Nov 2007 to 8 Sep 2015)
  • CF16 Significant Mgt (Desgntd Investment Business) (26 Feb 2007 to 31 Oct 2007)
  • CF1 Director (26 Feb 2007 to 8 Dec 2019)
• Stephen Ken Wah Lee

  IRN SKL01014

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Jun 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2020)
  • CF30 Customer (5 Jun 2017 to 8 Dec 2019)
• Stephen Thomas Davies

  IRN STD01025

  • [FCA CF] Client dealing (since 4 Mar 2022)
• Stuart Douglas Kirk

  IRN SDK01029

  • CF30 Customer (18 May 2018 to 24 Apr 2019)
• Stylianos Theodosiou

  IRN SXT01464

  • CF30 Customer (1 Nov 2007 to 24 Oct 2013)
  • CF21 Investment Adviser (23 Oct 2007 to 31 Oct 2007)
• Sundeep Vyas

  IRN SXV01078

  • [FCA CF] Manager of certification employee (since 5 Mar 2024)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (16 Mar 2015 to 8 Dec 2019)
  • CF21 Investment Adviser (26 Feb 2007 to 29 Oct 2007)
• Susan Clare Brady

  IRN SCB01128

  • CF15 Internal Audit (26 Feb 2007 to 26 Feb 2007)
• Syed James Karim

  IRN SJK01123

  • CF30 Customer (28 Apr 2016 to 11 Apr 2017)
• Tanveer Singh Gill

  IRN TSG01026

  • CF30 Customer (8 Oct 2018 to 8 Dec 2019)
• Thomas Charles Francis

  IRN TCF00019

  • CF30 Customer (19 Feb 2016 to 8 Dec 2019)

No changes recorded yet.