MUFG Securities EMEA plc

• Principal Place of Business

  Ropemaker Place

  25 Ropemaker Street

  London

  EC2Y 9AJ

  UNITED KINGDOM

  Phone

  +4402075771000

  Web

  https://www.mufgemea.com

• Complaints Contact

  Ropemaker Place

  25 Ropemaker Street

  London

  EC2Y 9AJ

  UNITED KINGDOM

  Phone

  +4402075774227

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Alternative Debenture, 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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  • · 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

  For Eligible Counterparty, Professional

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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, Alternative Debenture, 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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  • · 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, Alternative Debenture, 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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  • · 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, Alternative Debenture, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Alternative Debenture, 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 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.

• Abdelkader Bennaceur

  IRN AXB02343

  • CF30 Customer (13 Jun 2012 to 26 Feb 2014)
• Abigail Mairi Christina Wallace

  IRN AXW00928

  • [FCA CF] Client dealing (since 2 Oct 2024)
• Adam Hedwat

  IRN ABH01057

  • [FCA CF] Client dealing (since 28 Feb 2025)
• Adam Henry Owen Nodder

  IRN AHN01014

  • CF30 Customer (31 Mar 2009 to 6 Mar 2016)
• Adam Paul Jesney

  IRN APJ01086

  • [FCA CF] Manager of certification employee (20 Dec 2022 to 14 Oct 2023)
  • [FCA CF] Material risk taker (20 Dec 2022 to 14 Oct 2023)
  • [PRA CF] Significant risk taker or Material risk taker (20 Dec 2022 to 14 Oct 2023)
• Adam West

  IRN AXW01397

  • [FCA CF] Client dealing (7 Mar 2016 to 27 May 2023)
• Adam William Derrer

  IRN AXD01490

  • [FCA CF] Client dealing (14 Mar 2025 to 29 Aug 2025)
  • [FCA CF] Material risk taker (14 Mar 2025 to 29 Aug 2025)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 15 Aug 2023)
  • CF30 Customer (7 Jun 2010 to 6 Mar 2016)
• Ade Berdul Bamford

  IRN ABB01033

  • [FCA CF] Material risk taker (since 24 Mar 2026)
  • [PRA CF] Significant risk taker or Material risk taker (since 24 Mar 2026)
  • [FCA CF] Client dealing (since 24 Mar 2026)
  • [FCA CF] Client dealing (25 Jul 2017 to 27 Jul 2022)
  • CF21 Investment Adviser (2 Sep 2003 to 5 Oct 2004)
• Adrian Anthony Hargrave

  IRN AAH01024

  • CF30 Customer (1 Nov 2007 to 20 May 2013)
  • CF26 Customer Trading (11 Aug 2005 to 31 Oct 2007)
• Adrian Martin Spurling

  IRN AMS01152

  • CF23 Corporate Finance Adviser (1 Dec 2001 to 27 Sep 2002)

No changes recorded yet.