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.

• Samuel Adewole Ataiyero

  IRN SXA13393

  • SMF5 Head of Internal Audit (4 Jun 2020 to 31 Dec 2023)
  • CF28 Systems and controls (12 Jun 2019 to 8 Dec 2019)
• Samuel Eric Matthews

  IRN SEM01139

  • CF30 Customer (8 Aug 2013 to 22 Mar 2018)
• Sanjana Kanthimathinathan

  IRN SXK00253

  • [FCA CF] Client dealing (6 Jun 2025 to 14 Nov 2025)
• Sara Katherine Gardiner-Hill

  IRN SKW01022

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

  IRN SMJ01116

  • SMF18 Other Overall Responsibility (since 19 Aug 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 6 Oct 2021)
  • CF30 Customer (17 Jun 2017 to 8 Dec 2019)
• Sarah-Jayne Rose

  IRN SXR00886

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 20 Dec 2024)
  • SMF16 Compliance Oversight (since 20 Dec 2024)
• Sarvesh Kumar Agrawal

  IRN SKA01031

  • [FCA CF] Client dealing (9 Dec 2019 to 20 Jan 2021)
  • CF30 Customer (13 Apr 2017 to 8 Dec 2019)
• Sayanm Bhandula

  IRN SXB03801

  • [FCA CF] Client dealing (15 Apr 2024 to 3 Sep 2025)
• Sean Patrick Taylor

  IRN SPT01033

  • CF30 Customer (25 Oct 2013 to 17 May 2018)
• Sebastian Johannes Schein

  IRN SXS05593

  • [FCA CF] Client dealing (since 22 Apr 2025)

No changes recorded yet.