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

  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 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.

• 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

  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, 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.

• 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

  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.

• 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.

• Jessica Ann Singleton

  IRN JAS01528

  • CF30 Customer (28 Feb 2018 to 31 Oct 2019)
• Jessica Grace Hardman

  IRN JGD01081

  • SMF1 Chief Executive (3 Nov 2023 to 16 Aug 2024)
  • SMF3 Executive Director (3 Nov 2023 to 16 Aug 2024)
• Joachim Kurt Wilhelm Liese

  IRN JKL01011

  • CF1 Director (22 Feb 2007 to 11 Jul 2007)
  • CF21 Investment Adviser (12 Oct 2006 to 31 Oct 2007)
• Joanna Ewa Frontczak

  IRN JEF01100

  • [FCA CF] Client dealing (9 Dec 2019 to 25 Sep 2020)
  • CF30 Customer (15 Oct 2019 to 8 Dec 2019)
• Joanne Hennessey

  IRN JCH01106

  • CF30 Customer (16 Jan 2014 to 7 Dec 2017)
• Johannes Gerhard Brennecke

  IRN JGB01152

  • CF30 Customer (10 Jun 2017 to 15 May 2018)
• John Alfred Bennett

  IRN JAB01210

  • CF11 Money Laundering Reporting (28 Jun 2005 to 5 Jul 2005)
• John Bentley

  IRN JXB02474

  • CF30 Customer (3 Oct 2008 to 8 Mar 2016)
• John Fraser Loudoun

  IRN JFL01032

  • CF30 Customer (5 Sep 2011 to 26 May 2015)
• John Graham Mead Webster

  IRN JGW01068

  • SMF10 Chair of the Risk Committee (since 19 Oct 2020)
  • SMF9 Chair of the Governing Body (since 9 Dec 2019)
  • SMF13 Chair of the Nominations Committee (since 9 Dec 2019)
  • CF2 Non Executive Director (18 Nov 2015 to 8 Dec 2019)

No changes recorded yet.