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

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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

  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.

• 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.

• James Frederic Aris

  IRN JFA01012

  • [FCA CF] Material risk taker (since 13 Mar 2022)
  • [PRA CF] Significant risk taker or Material risk taker (since 13 Mar 2022)
  • [FCA CF] Client dealing (since 3 Aug 2021)
• Jane Susan Ayling

  IRN JXA34971

  • [FCA CF] Client dealing (since 21 Feb 2018)
• Jiro Omori

  IRN JXO01564

  • Director of firm who is not a certification employee or a SMF manager (1 Apr 2022 to 1 Apr 2024)
• John William Willson

  IRN JWW01068

  • [FCA CF] Material risk taker (2 Oct 2019 to 31 Mar 2024)
  • [PRA CF] Significant risk taker or Material risk taker (2 Oct 2019 to 31 Mar 2024)
  • SMF16 Compliance Oversight (7 Mar 2016 to 22 Aug 2016)
  • SMF17 Money Laundering Reporting Officer (MLRO) (7 Mar 2016 to 22 Aug 2016)
  • CF10 Compliance Oversight (1 Dec 2001 to 6 Mar 2016)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 6 Mar 2016)
• John Young Schreyer

  IRN JYS01004

  • [PRA CF] Significant risk taker or Material risk taker (since 11 Mar 2020)
  • [FCA CF] Client dealing (since 11 Mar 2020)
  • [FCA CF] Manager of certification employee (since 11 Mar 2020)
  • [FCA CF] Material risk taker (since 11 Mar 2020)
• Jonathan Charles Hawkeswood

  IRN JXH00252

  • [FCA CF] Client dealing (since 26 Feb 2024)
• Julia Margaret Wort

  IRN JMW01300

  • SMF4 Chief Risk (since 7 Mar 2016)
  • CF28 Systems and controls (29 May 2013 to 6 Mar 2016)
• Jun Adegawa

  IRN JXA01337

  • CF30 Customer (1 Nov 2007 to 8 Dec 2008)
  • CF26 Customer Trading (28 Jul 2004 to 31 Oct 2007)
• Jun Aoki

  IRN JXA01183

  • CF26 Customer Trading (3 Mar 2003 to 11 Mar 2004)
• Jun Togawa

  IRN JXT00572

  • Director of firm who is not a certification employee or a SMF manager (1 Apr 2023 to 1 Apr 2024)

No changes recorded yet.