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.

• Hiroshi Matano

  IRN HXM01568

  • CF2 Non Executive Director (17 Jul 2014 to 22 Jul 2015)
• Hiroshi Miyama

  IRN HXM00146

  • [FCA CF] Client dealing (9 Dec 2019 to 26 Oct 2023)
• Hiroshi Nakazawa

  IRN HXN00050

  • Director of firm who is not a certification employee or a SMF manager (1 Apr 2022 to 31 Mar 2024)
• Hiroyuki Higuchi

  IRN HXH00281

  • [FCA CF] Manager of certification employee (since 23 Jul 2024)
  • [FCA CF] Client dealing (since 18 Jun 2024)
  • [FCA CF] Material risk taker (since 18 Jun 2024)
• Hiroyuki Mori

  IRN HXM01225

  • CF29 Significant management (1 Nov 2007 to 15 Aug 2008)
  • CF8 Apportionment and Oversight (18 Feb 2005 to 31 Oct 2007)
  • CF19 Significant Mgt (Financial Resources) (18 Feb 2005 to 31 Oct 2007)
  • CF1 Director (18 Feb 2005 to 15 Aug 2008)
  • CF3 Chief Executive (18 Feb 2005 to 15 Aug 2008)
• Hisashi Ito

  IRN HXI01078

  • CF2 Non Executive Director (22 Aug 2011 to 23 May 2012)
• Hisashi Kanamori

  IRN HXK01138

  • CF2 Non Executive Director (17 Aug 2015 to 17 Apr 2018)
• Hitoshi Yamamoto

  IRN HXY01066

  • CF30 Customer (12 Oct 2009 to 20 Oct 2015)
• Isao Wakamiya

  IRN IXW15708

  • [FCA CF] Significant management (9 Dec 2019 to 16 Nov 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 16 Nov 2021)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 16 Nov 2021)
  • CF30 Customer (4 Jun 2019 to 8 Dec 2019)
• Joseph Leung

  IRN JXL00821

  • [FCA CF] Client dealing (since 19 Jul 2024)

No changes recorded yet.