Mitsubishi UFJ Trust and Banking Corporation

• Principal Place of Business

  24 Lombard Street

  London

  EC3V 9AJ

  UNITED KINGDOM

  Phone

  +4402079292323

  Web

  https://www.tr.mufg.jp/english

• Complaints Contact

  24 Lombard Street

  London

  EC3V 9AJ

  UNITED KINGDOM

  Phone

  +4402079292323

• Bank Deposits

  For All, Deposit

• 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, Retail (Investment), 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, Spread Bet, Unit, Warrant

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

• Arranges Asset Safekeeping

  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, Spread Bet, 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, Retail (Investment), 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, Spread Bet, Unit, Warrant

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

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), 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, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

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

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), 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, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

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

• Shota Nakaya

  IRN SXN34979

  • [FCA CF] Client dealing (2 Oct 2019 to 31 Mar 2025)
• Shuji Umabayashi

  IRN SXU01025

  • Director of firm who is not a certification employee or a SMF manager (1 Apr 2021 to 1 Apr 2025)
• Shuntaro Ikeshima

  IRN SXI01091

  • CF26 Customer Trading (27 Sep 2004 to 1 Oct 2007)
• Shuya Nomura

  IRN SXN34806

  • Director of firm who is not a certification employee or a SMF manager (7 Mar 2016 to 28 Jun 2022)
• Stephen James Collins

  IRN SJC01332

  • CF26 Customer Trading (19 Oct 2004 to 14 Nov 2006)
• Sunao Yokokawa

  IRN SXY34813

  • Director of firm who is not a certification employee or a SMF manager (28 Jun 2017 to 1 Apr 2021)
• Susan Joyce McFarlane

  IRN SXM00304

  • [FCA CF] Material risk taker (since 27 Dec 2023)
  • [PRA CF] Significant risk taker or Material risk taker (since 27 Dec 2023)
• Susumu Aono

  IRN SXA34994

  • SMF19 Head of Overseas Branch/Head of Overseas (since 23 Mar 2026)
  • [FCA CF] Client dealing (20 Mar 2017 to 1 Apr 2019)
  • [FCA CF] Manager of certification employee (20 Mar 2017 to 1 Apr 2019)
  • [FCA CF] Material risk taker (20 Mar 2017 to 1 Apr 2019)
  • [FCA CF] Proprietary trader (20 Mar 2017 to 1 Apr 2019)
  • [PRA CF] Significant risk taker or Material risk taker (20 Mar 2017 to 1 Apr 2019)
• Susumu Onoe

  IRN SXO01310

  • CF30 Customer (24 Jul 2012 to 23 Apr 2014)
• Tadashi Hoshino

  IRN TXH34987

  • [FCA CF] Client dealing (22 Feb 2017 to 4 Apr 2022)
  • [PRA CF] Significant risk taker or Material risk taker (22 Feb 2017 to 4 Apr 2022)
  • [FCA CF] Proprietary trader (22 Feb 2017 to 4 Apr 2022)
  • [FCA CF] Material risk taker (22 Feb 2017 to 4 Apr 2022)
  • [FCA CF] Manager of certification employee (22 Feb 2017 to 4 Apr 2022)

No changes recorded yet.