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.

• Shunichi Tokuda

  IRN SXT01230

  • CF2 Non Executive Director (1 Dec 2001 to 26 Jun 2002)
• Simeon Eugene Arneaud

  IRN SEA01050

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF10 Compliance Oversight (21 Aug 2015 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (21 Aug 2015 to 8 Dec 2019)
• So Ota

  IRN SXO01433

  • [FCA CF] Material risk taker (9 Dec 2019 to 2 Jan 2022)
  • [FCA CF] Significant management (9 Dec 2019 to 2 Jan 2022)
  • CF30 Customer (30 Dec 2015 to 8 Dec 2019)
• Stephen George Lacey

  IRN SGL01024

  • CF11 Money Laundering Reporting (1 Dec 2001 to 30 Jan 2004)
• Susumu Aono

  IRN SXA03589

  • Director of firm who is not a certification employee or a SMF manager (since 1 Apr 2026)
• Tadashi Yanagisawa

  IRN TXY01038

  • CF2 Non Executive Director (20 Jun 2003 to 12 Jan 2006)
• Takafumi Ihara

  IRN TXI01031

  • CF2 Non Executive Director (5 Jun 2018 to 8 Dec 2019)
• Takami Onodera

  IRN TXO01200

  • CF2 Non Executive Director (22 Jul 2010 to 22 Aug 2011)
• Takanori Yamaguchi

  IRN TXY01009

  • CF27 Investment Management (1 Dec 2001 to 29 Jan 2003)
• Takashi Morimura

  IRN TXM01463

  • CF2 Non Executive Director (5 Jul 2007 to 1 Jul 2011)

No changes recorded yet.