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.

• Darren Burns

  IRN DXB00455

  • [FCA CF] Manager of certification employee (since 17 Jan 2025)
  • [PRA CF] Significant risk taker or Material risk taker (since 23 Mar 2021)
  • [FCA CF] Client dealing (since 23 Mar 2021)
  • [FCA CF] Material risk taker (since 23 Mar 2021)
• Darren Charles Vinton

  IRN DCV01004

  • CF30 Customer (8 Oct 2009 to 7 Nov 2012)
  • CF21 Investment Adviser (1 Dec 2001 to 2 Jun 2004)
• Darren Hook

  IRN DXH01511

  • [FCA CF] Client dealing (since 8 Mar 2023)
• David Alain Champredon

  IRN DAC01204

  • CF30 Customer (18 May 2009 to 1 Mar 2012)
• David Christopher Fell-Clark

  IRN DCT01018

  • [FCA CF] Manager of certification employee (since 28 May 2023)
  • [FCA CF] Material risk taker (since 23 Nov 2020)
  • [PRA CF] Significant risk taker or Material risk taker (since 23 Nov 2020)
  • [FCA CF] Client dealing (since 18 Nov 2020)
• David Fotheringham

  IRN DEF01018

  • CF30 Customer (28 Sep 2009 to 20 Jul 2011)
• David George Johnson

  IRN DGJ01045

  • [FCA CF] Manager of certification employee (since 28 May 2023)
  • [FCA CF] Client dealing (since 7 Mar 2016)
  • CF30 Customer (6 Sep 2013 to 6 Mar 2016)
• David James Boston

  IRN DJB01574

  • [FCA CF] Material risk taker (7 Mar 2016 to 1 Apr 2022)
  • [FCA CF] Client dealing (7 Mar 2016 to 24 Mar 2026)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 1 Apr 2022)
  • CF30 Customer (10 Feb 2011 to 6 Mar 2016)
• David John Cox

  IRN DXC00422

  • [FCA CF] Material risk taker (24 Nov 2022 to 10 Feb 2023)
  • [PRA CF] Significant risk taker or Material risk taker (24 Nov 2022 to 10 Feb 2023)
• David King

  IRN DJK01104

  • SMF1 Chief Executive (7 Mar 2016 to 29 Mar 2019)
  • CF3 Chief Executive (13 Apr 2012 to 26 Feb 2013)
  • CF1 Director (19 Jan 2011 to 6 Mar 2016)
  • CF28 Systems and controls (11 Jun 2010 to 25 Feb 2015)

No changes recorded yet.