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

  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.

• Authorised to Operate

  For Eligible Counterparty, Professional

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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

  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.

• 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

  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.

• 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.

• David McCullough

  IRN DXM01565

  • CF21 Investment Adviser (1 Dec 2001 to 1 Oct 2004)
• David Mendez-Vives

  IRN DXM01442

  • CF30 Customer (1 Nov 2007 to 2 Oct 2008)
  • CF21 Investment Adviser (21 Aug 2006 to 31 Oct 2007)
• David Morland

  IRN DXM01583

  • [FCA CF] Manager of certification employee (since 16 Aug 2023)
  • [FCA CF] Client dealing (since 7 Mar 2016)
  • [FCA CF] Material risk taker (7 Mar 2016 to 1 Apr 2022)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 1 Apr 2022)
  • CF30 Customer (5 Aug 2014 to 6 Mar 2016)
• David Nisbet

  IRN DJN01083

  • [FCA CF] Material risk taker (since 12 Oct 2022)
  • [PRA CF] Significant risk taker or Material risk taker (since 12 Oct 2022)
  • [FCA CF] Client dealing (since 12 Oct 2022)
  • [FCA CF] Manager of certification employee (since 12 Oct 2022)
• David Paik

  IRN DXP87430

  • [FCA CF] Manager of certification employee (4 Apr 2025 to 5 Sep 2025)
  • [PRA CF] Significant risk taker or Material risk taker (4 Feb 2021 to 5 Sep 2025)
  • [FCA CF] Material risk taker (4 Feb 2021 to 5 Sep 2025)
  • [FCA CF] Client dealing (7 Mar 2016 to 5 Sep 2025)
• David Patrick Edmunds

  IRN DXE44680

  • [FCA CF] Client dealing (since 3 Jun 2025)
• David Povl Roder

  IRN DPR01079

  • CF30 Customer (24 Dec 2008 to 21 Apr 2011)
• David Richard Moore

  IRN DRM01097

  • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Aug 2005)
• David Stephen Lewis

  IRN DSL01018

  • CF30 Customer (6 Feb 2008 to 11 Nov 2009)
• David Thomas Anthony Jaggers

  IRN DTJ01018

  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

No changes recorded yet.