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

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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.

• Carlo Mareels

  IRN CXM01424

  • [FCA CF] Client dealing (3 Oct 2019 to 12 Dec 2025)
  • [FCA CF] Material risk taker (3 Oct 2019 to 4 Oct 2019)
  • [PRA CF] Significant risk taker or Material risk taker (3 Oct 2019 to 4 Oct 2019)
• Carlo Riva

  IRN CXR01469

  • CF30 Customer (14 Sep 2010 to 13 Apr 2012)
• Carlota Franch Manas

  IRN CXF70660

  • [FCA CF] Client dealing (18 Nov 2019 to 18 Jul 2022)
• Caroline Hefferan

  IRN CMN01011

  • CF30 Customer (4 Jan 2011 to 6 Mar 2016)
• Catherine Mary Brett

  IRN CMB01099

  • SMF4 Chief Risk (25 Jul 2018 to 22 Jul 2019)
• Catherine Tabourdeau

  IRN CXT01352

  • CF30 Customer (30 Jun 2010 to 24 Feb 2014)
• Cathryn Kelly

  IRN CXK00206

  • [PRA CF] Significant risk taker or Material risk taker (since 16 Feb 2023)
  • [FCA CF] Material risk taker (since 16 Feb 2023)
• Cedrick Parize

  IRN CXP00049

  • [FCA CF] Material risk taker (6 Jul 2020 to 5 Apr 2022)
  • [PRA CF] Significant risk taker or Material risk taker (6 Jul 2020 to 5 Apr 2022)
• Charles Philip Robert Ker

  IRN CPK01027

  • [FCA CF] Material risk taker (16 Feb 2023 to 1 Apr 2024)
  • [PRA CF] Significant risk taker or Material risk taker (16 Feb 2023 to 1 Apr 2024)
• Charles Scott

  IRN SXC02157

  • CF30 Customer (1 Mar 2011 to 7 Mar 2015)

No changes recorded yet.