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.

• Shalin Bhagwan

  IRN SPB01147

  • [FCA CF] Material risk taker (1 Apr 2020 to 14 Apr 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 14 Apr 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 14 Apr 2023)
  • CF30 Customer (15 Oct 2018 to 8 Dec 2019)
• Shane Padden

  IRN SXP02060

  • CF30 Customer (20 Nov 2018 to 3 Jul 2019)
• Shanil Shah

  IRN SXS02015

  • [FCA CF] Manager of certification employee (since 10 Jun 2020)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (18 Mar 2016 to 8 Dec 2019)
• Shinil Kumar Balakrishnan

  IRN SKB01063

  • [FCA CF] Client dealing (9 Dec 2019 to 4 Nov 2023)
  • CF30 Customer (5 Nov 2015 to 8 Dec 2019)
• Shubik Furtado

  IRN SXF00406

  • [FCA CF] Client dealing (since 17 May 2023)
• Siddhartha Bhattacharyya

  IRN SSB01086

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Jan 2020)
  • CF30 Customer (4 Dec 2014 to 8 Dec 2019)
• Simon Anthony Brinsmead

  IRN SAB01427

  • CF30 Customer (23 Feb 2018 to 24 Jun 2019)
• Simon Michael Dennis

  IRN SMD01098

  • CF30 Customer (12 Aug 2009 to 29 May 2013)
• Simon Paul Chennell

  IRN SPC01060

  • CF30 Customer (1 Nov 2007 to 17 Jan 2011)
  • CF27 Investment Management (23 Jul 2007 to 31 Oct 2007)
• Spencer Prinn

  IRN SXP02650

  • CF10 Compliance Oversight (3 Oct 2016 to 11 Oct 2018)

No changes recorded yet.