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.

• Christopher David Eyles

  IRN CDE01013

  • CF10 Compliance Oversight (1 Dec 2001 to 11 Jan 2006)
• Christopher Douglas Morrison

  IRN CDM01103

  • CF30 Customer (1 Nov 2007 to 7 Jan 2011)
  • CF27 Investment Management (29 May 2007 to 31 Oct 2007)
• Claire Louise Garner

  IRN CLG01022

  • CF30 Customer (1 Nov 2007 to 22 Feb 2008)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Claire Michelle Johnson

  IRN CMJ00014

  • CF30 Customer (15 Jan 2018 to 8 Dec 2019)
• Clare Hurley

  IRN CMH01066

  • CF27 Investment Management (29 Apr 2002 to 14 Jun 2007)
• David Barnett

  IRN DXB01437

  • CF28 Systems and controls (4 Oct 2011 to 8 Dec 2019)
• David Bourne

  IRN DJB01217

  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • CF10 Compliance Oversight (19 May 2015 to 26 Jun 2015)
  • CF11 Money Laundering Reporting (19 May 2015 to 26 Jun 2015)
  • CF28 Systems and controls (19 May 2015 to 8 Dec 2019)
  • CF29 Significant management (1 Nov 2007 to 22 Dec 2010)
  • CF20 Significant Mgt (Settlements) (12 Jan 2006 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 25 Sep 2002)
• Devpal Bhachu

  IRN DXB02174

  • CF30 Customer (23 Aug 2017 to 8 Dec 2019)
• Duncan Gardiner

  IRN DXG00491

  • [FCA CF] Significant management (since 31 Mar 2026)
  • [FCA CF] Manager of certification employee (since 30 Mar 2026)
  • [FCA CF] Material risk taker (since 1 Apr 2025)
  • [FCA CF] Client dealing (since 12 Sep 2023)
  • [FCA CF] Significant management (1 Apr 2025 to 30 Mar 2026)
• Edward Neale

  IRN EXN01068

  • CF30 Customer (1 Nov 2007 to 4 Jan 2008)
  • CF27 Investment Management (31 May 2007 to 31 Oct 2007)

No changes recorded yet.