Mitsubishi UFJ Asset Management (UK) Ltd.

• Principal Place of Business

  24 Lombard Street

  London

  EC3V 9AJ

  UNITED KINGDOM

  Phone

  +442087131385

  Web

  https://www.uk.am.mufg.jp

• Complaints Contact

  24 Lombard Street

  London

  EC3V 9AJ

  UNITED KINGDOM

  Phone

  +442087131346

• Investment Advice (no pensions)

  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, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to 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, 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 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to 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, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Investment Setup

  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, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• 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, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Yasuhiro Komaru

  IRN YXK00074

  • [FCA CF] Client dealing (since 16 Jan 2024)
• Yasuhito Tominaga

  IRN YXT01136

  • CF3 Chief Executive (2 Dec 2013 to 1 Apr 2016)
  • CF1 Director (2 Dec 2013 to 1 Apr 2016)
  • CF29 Significant management (2 Dec 2013 to 1 Apr 2016)
• Yasumine Satake

  IRN YXS01019

  • CF2 Non Executive Director (1 Dec 2001 to 28 May 2004)
• Yasunari Sonobe

  IRN YXS01287

  • SMF3 Executive Director (9 Dec 2019 to 17 Jan 2020)
  • SMF1 Chief Executive (9 Dec 2019 to 17 Jan 2020)
  • CF1 Director (4 Apr 2016 to 8 Dec 2019)
  • CF3 Chief Executive (4 Apr 2016 to 8 Dec 2019)
• Yoichi Kambara

  IRN YXK01019

  • CF2 Non Executive Director (1 Dec 2001 to 11 Mar 2002)
• Yoshinobu Onishi

  IRN YXO01037

  • CF2 Non Executive Director (12 Jan 2006 to 15 Jun 2007)
• Yoshitaka Itsuki

  IRN YXI00010

  • [FCA CF] Significant management (27 Jun 2022 to 28 Mar 2025)
  • [FCA CF] Manager of certification employee (27 Jun 2022 to 28 Mar 2025)
  • [FCA CF] Material risk taker (27 Jun 2022 to 28 Mar 2025)
• Yoshito Mori

  IRN YXM00088

  • Director of firm who is not a certification employee or a SMF manager (1 Apr 2024 to 1 Apr 2026)
• Yuichiro Tawara

  IRN YXT01018

  • CF30 Customer (1 Nov 2007 to 17 Dec 2009)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Yuji Otsuka

  IRN YXO00012

  • [FCA CF] Material risk taker (since 21 Nov 2023)
  • [FCA CF] Significant management (since 31 Jan 2022)
  • [FCA CF] Client dealing (31 Jan 2022 to 21 Nov 2023)

No changes recorded yet.