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.

• Christopher Turner-Hart

  IRN CXT00404

  • [FCA CF] Manager of certification employee (since 31 Mar 2023)
  • [PRA CF] Significant risk taker or Material risk taker (since 31 Mar 2023)
  • [FCA CF] Material risk taker (since 31 Mar 2023)
• Christopher White

  IRN CSW01036

  • CF22 Investment Adviser (Trainee) (25 Jan 2002 to 19 Jan 2004)
  • CF21 Investment Adviser (1 Dec 2001 to 25 Jan 2002)
• Clarke James Antony Pitts

  IRN CJP01124

  • CF30 Customer (1 Nov 2007 to 2 Apr 2008)
  • CF21 Investment Adviser (5 Jun 2006 to 31 Oct 2007)
• Claudia Dunscombe

  IRN CXD00621

  • [FCA CF] Client dealing (since 21 Feb 2025)
• Clementine Antoinette Leon

  IRN CAC01124

  • CF30 Customer (1 Apr 2010 to 20 Aug 2012)
• Clementine Tregoning

  IRN CXT00478

  • [FCA CF] Client dealing (since 13 Jun 2024)
• Clifford De Souza

  IRN CXD01450

  • CF2 Non Executive Director (15 Jun 2012 to 1 Apr 2014)
  • CF3 Chief Executive (23 Jun 2008 to 1 Apr 2012)
  • CF1 Director (9 Apr 2008 to 15 Jun 2012)
• Clive Anthony Smith

  IRN CAS01078

  • CF30 Customer (1 Nov 2007 to 23 Nov 2010)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Colleen Frances Stack

  IRN CFS01058

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 2 Jul 2018)
• Connor Randall

  IRN CXR00022

  • [FCA CF] Client dealing (10 Aug 2020 to 11 Oct 2022)

No changes recorded yet.