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.

• Dimitri Lahlaoui

  IRN DXL00292

  • [FCA CF] Client dealing (30 Mar 2022 to 31 Oct 2025)
• Dominik Norbert Roth

  IRN DNR01024

  • [FCA CF] Material risk taker (since 28 Feb 2025)
  • [PRA CF] Significant risk taker or Material risk taker (since 28 Feb 2025)
  • [FCA CF] Client dealing (since 11 Feb 2025)
• Donal Patrick Joseph Mullane

  IRN DPM01094

  • CF21 Investment Adviser (1 Dec 2001 to 15 Nov 2002)
• Donald Francis Simpson

  IRN DFS01023

  • CF14 Risk Assessment (2 Apr 2003 to 12 Jun 2006)
  • CF20 Significant Mgt (Settlements) (1 Dec 2001 to 11 Jun 2003)
  • CF17 Significant Mgt (Other Business Operations) (1 Dec 2001 to 11 Jun 2003)
• Donato Maturo

  IRN DXM01380

  • CF30 Customer (16 Mar 2009 to 6 Mar 2016)
• Dong Trieu Pham

  IRN DTP01039

  • CF30 Customer (30 Apr 2015 to 6 Mar 2016)
• Dorian Meric

  IRN DXM02301

  • [FCA CF] Manager of certification employee (28 May 2023 to 26 Oct 2025)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 26 Oct 2025)
  • [FCA CF] Client dealing (7 Mar 2016 to 26 Oct 2025)
  • [FCA CF] Material risk taker (7 Mar 2016 to 26 Oct 2025)
  • CF30 Customer (4 Jan 2016 to 6 Mar 2016)
• Douglas James Acton

  IRN DJA01167

  • [FCA CF] Client dealing (16 Jan 2023 to 5 Jun 2024)
• Douglas Tucker

  IRN DXT01516

  • SMF16 Compliance Oversight (since 7 Mar 2016)
  • SMF17 Money Laundering Reporting Officer (MLRO) (7 Mar 2016 to 2 Jul 2018)
  • CF11 Money Laundering Reporting (28 May 2015 to 6 Mar 2016)
  • CF10 Compliance Oversight (23 Sep 2013 to 6 Mar 2016)
• Dylan Russo

  IRN DXR00612

  • [FCA CF] Client dealing (since 2 Oct 2025)

No changes recorded yet.