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.

• Emi Clarke

  IRN EXC01302

  • CF30 Customer (10 Jun 2009 to 6 Feb 2015)
• Esther Mary Lucy Gilbert

  IRN EMG01035

  • CF30 Customer (1 Nov 2007 to 22 Oct 2010)
  • CF27 Investment Management (12 Dec 2006 to 31 Oct 2007)
• Fumiyuki Akikusa

  IRN AXF01332

  • CF2 Non Executive Director (13 Jul 2004 to 20 Jul 2005)
• Gary Hutchings

  IRN GJH01109

  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • CF29 Significant management (12 Jun 2019 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Geoffrey Leonard Scott

  IRN GXS01281

  • CF28 Systems and controls (1 Nov 2007 to 4 Oct 2011)
  • CF15 Internal Audit (1 Dec 2001 to 31 Oct 2007)
• Harry John Eyre

  IRN HJE01015

  • CF28 Systems and controls (1 Nov 2007 to 24 Dec 2014)
  • CF11 Money Laundering Reporting (10 Jan 2006 to 24 Dec 2014)
  • CF10 Compliance Oversight (10 Jan 2006 to 24 Dec 2014)
  • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
  • CF20 Significant Mgt (Settlements) (1 Dec 2001 to 12 Jan 2006)
  • CF14 Risk Assessment (1 Dec 2001 to 31 Oct 2007)
• Haruka Yamada-Orr

  IRN HXY00013

  • [FCA CF] Client dealing (since 9 Dec 2019)
• Haruo Kimura

  IRN HXK01040

  • CF2 Non Executive Director (1 Dec 2001 to 20 Jun 2003)
• Hidefumi Yamamura

  IRN HXY01150

  • Director of firm who is not a certification employee or a SMF manager (31 Mar 2021 to 1 Apr 2022)
  • CF2 Non Executive Director (3 Jul 2018 to 8 Dec 2019)
• Hideo Nishimatsu

  IRN HXN00041

  • [FCA CF] Client dealing (8 Jul 2021 to 17 Aug 2022)

No changes recorded yet.