MUFG BANK, LTD

• Principal Place of Business

  Ropemaker Place, 25 Ropemaker Street

  London

  EC2Y 9AN

  UNITED KINGDOM

  Phone

  +4402075771000

  Web

  https://www.mufgemea.com

• Complaints Contact

  Ropemaker Place, 25 Ropemaker Street

  London

  EC2Y 9AN

  UNITED KINGDOM

  Phone

  +4402075771000

• Bank Deposits

  For All, Deposit

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• Investment Advice (no pensions)

  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 2 limitations Hide limitations

  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "share", "certificate representing certain security" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · 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.

• 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, Structured Deposits, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "share" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · 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, 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), Life Policy, 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.

• 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, 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, Structured Deposits, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "share" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · 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.

• Holds Your Assets

  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), Life Policy, 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.

• Darren Ardell Bennellick

  IRN DAB01254

  • CF30 Customer (1 Nov 2007 to 26 Jun 2008)
  • CF21 Investment Adviser (17 Jun 2005 to 31 Oct 2007)
• Darryl D'Souza

  IRN DAD01089

  • [FCA CF] Manager of certification employee (since 28 May 2023)
  • [FCA CF] Client dealing (since 7 Mar 2016)
  • [FCA CF] Material risk taker (since 7 Mar 2016)
  • [PRA CF] Significant risk taker or Material risk taker (since 7 Mar 2016)
  • CF30 Customer (8 Dec 2014 to 6 Mar 2016)
• David Aaron Nathan Chernanko

  IRN DXC00691

  • [FCA CF] Manager of certification employee (since 5 Dec 2023)
  • [FCA CF] Client dealing (since 16 Aug 2023)
• David Aswani

  IRN DXA01587

  • [FCA CF] Client dealing (7 Mar 2016 to 13 Dec 2022)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 8 Mar 2016)
  • [FCA CF] Material risk taker (7 Mar 2016 to 8 Mar 2016)
  • CF30 Customer (13 Mar 2013 to 6 Mar 2016)
• David Castro

  IRN DXC00960

  • [PRA CF] Significant risk taker or Material risk taker (26 Jan 2026 to 27 Jan 2026)
  • [FCA CF] Material risk taker (26 Jan 2026 to 27 Jan 2026)
• David Falcon

  IRN DXF01151

  • CF30 Customer (1 Nov 2007 to 15 Sep 2014)
  • CF23 Corporate Finance Adviser (3 Jan 2007 to 31 Oct 2007)
• David George Johnson

  IRN DGJ01045

  • [FCA CF] Manager of certification employee (since 28 May 2023)
  • [FCA CF] Client dealing (since 17 Mar 2021)
• David Gillies

  IRN DMG01065

  • CF30 Customer (1 Nov 2007 to 2 Oct 2010)
  • CF21 Investment Adviser (24 Oct 2005 to 31 Oct 2007)
• David Holwell

  IRN DXH70607

  • [FCA CF] Client dealing (4 Jun 2018 to 1 Apr 2021)
• David Ian Wootton

  IRN DIW01017

  • CF30 Customer (2 Feb 2016 to 6 Mar 2016)

No changes recorded yet.