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.

• Dawn Simone Kravitz

  IRN DSF01037

  • [FCA CF] Client dealing (since 15 Jan 2026)
  • CF30 Customer (5 Dec 2007 to 6 Mar 2016)
• Deborah Elizabeth Madge

  IRN DEH01062

  • SMF5 Head of Internal Audit (13 Nov 2019 to 10 Mar 2022)
• Dee Dervish

  IRN DXD01131

  • CF21 Investment Adviser (1 Dec 2001 to 4 Jan 2006)
• Deirdre Mary Rose Lane

  IRN DML01073

  • CF22 Investment Adviser (Trainee) (18 Aug 2004 to 30 Nov 2005)
• Denis Kelleher

  IRN DXK01107

  • CF30 Customer (1 Nov 2007 to 21 Jun 2010)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Despoina Pavlidou

  IRN DXP01606

  • [FCA CF] Manager of certification employee (since 28 May 2023)
  • [FCA CF] Client dealing (since 7 Mar 2016)
  • CF30 Customer (4 Feb 2009 to 6 Mar 2016)
• Diane Elizabeth Moore

  IRN DEM01094

  • SMF14 Senior Independent Director (2 Aug 2016 to 28 Jun 2019)
  • SIMF14 Senior Independent Director (2 Aug 2016 to 2 Aug 2016)
  • SMF12 Chair of the Remuneration Committee (7 Mar 2016 to 28 Jun 2019)
  • CF2 Non Executive Director (1 Apr 2013 to 6 Mar 2016)
• Diego Discepoli

  IRN DXD01474

  • CF30 Customer (12 Nov 2012 to 11 Apr 2014)
• Dilawar Khan

  IRN DXK70612

  • [FCA CF] Manager of certification employee (since 28 May 2023)
  • [FCA CF] Client dealing (since 2 Jan 2019)
• Dimitri Kalafatis

  IRN DXK01130

  • CF26 Customer Trading (1 Dec 2001 to 28 Nov 2002)

No changes recorded yet.