DWS Investments UK Limited

• Principal Place of Business

  45 Cannon Street

  LONDON

  London

  EC4M 5SB

  UNITED KINGDOM

  Phone

  +4402075458000

  Web

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

• Complaints Contact

  45 Cannon Street

  London

  London

  EC4M 5SB

  UNITED KINGDOM

  Phone

  +4402075458000

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), 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, 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, 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, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), 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, 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, Retail (Investment), 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, 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 Eligible Counterparty, Professional, Retail (Investment), 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, 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), 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, 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.

• Iain James Mather

  IRN IJM01088

  • CF10 Compliance Oversight (10 Apr 2006 to 30 Jun 2006)
• Ian Michael Hamson

  IRN IMH01080

  • CF28 Systems and controls (5 Mar 2014 to 8 Dec 2019)
• Ian Westbrook Trundle

  IRN IWT01007

  • CF1 Director (28 Jun 2005 to 31 Jul 2008)
• Isobel Ann MacGregor Swanson

  IRN IAS01029

  • CF10 Compliance Oversight (18 Jul 2006 to 15 May 2015)
• Ivor Hogan

  IRN IXH01349

  • CF28 Systems and controls (11 May 2015 to 30 Jun 2016)
  • CF1 Director (11 May 2015 to 30 Jun 2016)
• Jacques Lajard

  IRN JXL01446

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 25 Apr 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 25 Apr 2025)
  • CF30 Customer (13 Apr 2018 to 8 Dec 2019)
• James Anthony John Pulsford

  IRN JAP01077

  • CF30 Customer (1 Nov 2007 to 29 Feb 2012)
  • CF27 Investment Management (28 Jun 2005 to 31 Oct 2007)
• James Campbell Morrow

  IRN JCM01126

  • [FCA CF] Client dealing (20 Jan 2020 to 3 Jul 2020)
  • [FCA CF] Manager of certification employee (20 Jan 2020 to 22 Jun 2020)
  • CF30 Customer (10 Aug 2017 to 8 Dec 2019)
• James Daley

  IRN JDD01107

  • [FCA CF] Client dealing (9 Dec 2019 to 4 Jan 2022)
  • CF30 Customer (16 Mar 2017 to 8 Dec 2019)
• James Hartley

  IRN JNH01076

  • [FCA CF] Manager of certification employee (since 2 Aug 2022)
  • [FCA CF] Client dealing (since 2 Aug 2022)
  • [FCA CF] Manager of certification employee (19 May 2022 to 15 Jul 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 15 Jul 2022)
  • CF30 Customer (18 Mar 2019 to 8 Dec 2019)

No changes recorded yet.