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.

• David James Dallison

  IRN DJD01108

  • CF30 Customer (1 Nov 2007 to 21 Feb 2011)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
• David Marquez

  IRN DXM44883

  • [FCA CF] Client dealing (7 Mar 2016 to 31 Oct 2021)
• David Morland

  IRN DXM01583

  • [FCA CF] Manager of certification employee (since 16 Aug 2023)
  • [FCA CF] Client dealing (since 7 Mar 2016)
  • [FCA CF] Material risk taker (7 Mar 2016 to 1 Apr 2022)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 1 Apr 2022)
• David Nisbet

  IRN DJN01083

  • [FCA CF] Manager of certification employee (since 12 Oct 2022)
  • [FCA CF] Client dealing (since 12 Oct 2022)
  • [FCA CF] Material risk taker (since 12 Oct 2022)
  • [PRA CF] Significant risk taker or Material risk taker (since 12 Oct 2022)
  • CF30 Customer (18 Sep 2009 to 2 Jan 2011)
• David Paik

  IRN DXP87430

  • [FCA CF] Manager of certification employee (4 Apr 2025 to 5 Sep 2025)
  • [PRA CF] Significant risk taker or Material risk taker (15 Mar 2021 to 5 Sep 2025)
  • [FCA CF] Client dealing (15 Mar 2021 to 5 Sep 2025)
  • [FCA CF] Material risk taker (15 Mar 2021 to 5 Sep 2025)
• David Patrick Edmunds

  IRN DXE44680

  • [FCA CF] Client dealing (since 23 Jan 2024)
  • [FCA CF] Client dealing (9 Mar 2020 to 1 Apr 2020)
• David Philbin

  IRN DXP01368

  • [FCA CF] Client dealing (7 Mar 2016 to 14 Jul 2023)
  • [FCA CF] Manager of certification employee (7 Mar 2016 to 14 Jul 2023)
  • [FCA CF] Material risk taker (7 Mar 2016 to 14 Jul 2023)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 14 Jul 2023)
  • CF30 Customer (17 Sep 2008 to 6 Mar 2016)
  • CF23 Corporate Finance Adviser (1 Jul 2003 to 8 Aug 2005)
• David Ralph Rosenberg

  IRN DRR01031

  • SMF2 Chief Finance (7 Mar 2016 to 30 Jun 2017)
  • CF28 Systems and controls (15 Dec 2015 to 6 Mar 2016)
• David Rhys Goring-Thomas

  IRN DRG01105

  • [FCA CF] Client dealing (18 Nov 2019 to 7 Jul 2020)
  • [PRA CF] Significant risk taker or Material risk taker (18 Nov 2019 to 7 Jul 2020)
  • [FCA CF] Material risk taker (18 Nov 2019 to 7 Jul 2020)
• David Richard Moore

  IRN DRM01097

  • CF23 Corporate Finance Adviser (1 Sep 2005 to 15 Jun 2007)

No changes recorded yet.