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.

• Christophe Kim Augustin Campagne

  IRN CKC01009

  • CF21 Investment Adviser (1 Dec 2001 to 18 Aug 2003)
• Christopher Amor

  IRN CXA87208

  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 29 Jun 2020)
  • [FCA CF] Client dealing (7 Mar 2016 to 29 Jun 2020)
  • [FCA CF] Material risk taker (7 Mar 2016 to 29 Jun 2020)
• Christopher David Barnes Kyle

  IRN CDK01027

  • SMF1 Chief Executive (22 Jul 2022 to 31 Mar 2025)
  • SMF2 Chief Finance (7 Mar 2016 to 6 Sep 2022)
  • CF28 Systems and controls (12 Mar 2015 to 6 Mar 2016)
  • CF1 Director (12 Mar 2015 to 6 Mar 2016)
• Christopher De Sibert

  IRN CXD01126

  • [PRA CF] Significant risk taker or Material risk taker (10 Jun 2019 to 9 Jan 2023)
  • [FCA CF] Material risk taker (10 Jun 2019 to 9 Jan 2023)
  • [FCA CF] Client dealing (10 Jun 2019 to 9 Jan 2023)
• Christopher Jakubowski

  IRN CRJ01040

  • [FCA CF] Client dealing (since 28 May 2023)
• Christopher John Edkins

  IRN CJE01071

  • [FCA CF] Client dealing (15 Mar 2023 to 9 Apr 2026)
  • [PRA CF] Significant risk taker or Material risk taker (15 Mar 2023 to 9 Apr 2026)
  • [FCA CF] Manager of certification employee (15 Mar 2023 to 15 Jan 2026)
  • [FCA CF] Material risk taker (15 Mar 2023 to 9 Apr 2026)
  • CF30 Customer (27 Aug 2013 to 6 Mar 2016)
• Christopher John Todd Dunning

  IRN CXT00077

  • [PRA CF] Significant risk taker or Material risk taker (10 Dec 2020 to 1 Apr 2024)
  • [FCA CF] Material risk taker (10 Dec 2020 to 1 Apr 2024)
• Christopher Orr

  IRN CGO01005

  • [FCA CF] Significant management (21 Jun 2023 to 3 Oct 2025)
  • [FCA CF] Material risk taker (31 Mar 2023 to 3 Oct 2025)
  • [PRA CF] Significant risk taker or Material risk taker (31 Mar 2023 to 3 Oct 2025)
  • [FCA CF] Client dealing (31 Mar 2023 to 3 Oct 2025)
  • [FCA CF] Manager of certification employee (31 Mar 2023 to 3 Oct 2025)
• Christopher Shepherd

  IRN CXS01234

  • CF30 Customer (1 Jun 2010 to 20 Jul 2011)
• Christopher Simon Van't Hoff

  IRN CSV01002

  • CF21 Investment Adviser (10 Oct 2005 to 16 Oct 2006)

No changes recorded yet.