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

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  • · 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

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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, Structured Deposits, Unit, Warrant

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  • · 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

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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.

• 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.

• Koji Karasawa

  IRN KXK87223

  • [PRA CF] Significant risk taker or Material risk taker (23 Apr 2016 to 24 Apr 2020)
  • [FCA CF] Client dealing (23 Apr 2016 to 24 Apr 2020)
  • [FCA CF] Material risk taker (23 Apr 2016 to 24 Apr 2020)
• Koji Maki

  IRN KXM01398

  • CF30 Customer (24 Apr 2014 to 6 Mar 2016)
  • CF26 Customer Trading (24 Dec 2003 to 12 Jan 2007)
• Konstantinios Vassiliou

  IRN KXV01017

  • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2005)
• Kosaku Kanehara

  IRN KXK00319

  • [FCA CF] Material risk taker (16 Feb 2023 to 11 Apr 2025)
  • [PRA CF] Significant risk taker or Material risk taker (16 Feb 2023 to 11 Apr 2025)
• Kosaku Miyahara

  IRN KXM00041

  • [FCA CF] Client dealing (since 15 Jan 2025)
  • [FCA CF] Client dealing (28 Sep 2020 to 9 Jul 2021)
• Kosaku Nakanishi

  IRN KXN01142

  • [FCA CF] Material risk taker (30 Jun 2021 to 30 Nov 2022)
  • [PRA CF] Significant risk taker or Material risk taker (30 Jun 2021 to 30 Nov 2022)
  • CF30 Customer (12 Aug 2009 to 3 Apr 2010)
• Krishna Shah

  IRN KXS01556

  • [FCA CF] Material risk taker (21 Mar 2016 to 1 Feb 2022)
  • [FCA CF] Client dealing (21 Mar 2016 to 1 Feb 2022)
  • [PRA CF] Significant risk taker or Material risk taker (21 Mar 2016 to 1 Feb 2022)
• Kumar Aswin Shah

  IRN KAS01154

  • CF30 Customer (23 May 2012 to 6 Mar 2016)
• Kunihiro Sawada

  IRN KXS01677

  • CF30 Customer (5 Jan 2010 to 12 May 2012)
• Kunihiro Takemura

  IRN KXT01256

  • CF30 Customer (1 Nov 2007 to 6 Mar 2009)
  • CF26 Customer Trading (1 Jun 2007 to 31 Oct 2007)

No changes recorded yet.