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.

• Emmanuel Delattre

  IRN EHD01007

  • [FCA CF] Manager of certification employee (since 7 Mar 2016)
  • [FCA CF] Material risk taker (since 7 Mar 2016)
  • [PRA CF] Significant risk taker or Material risk taker (since 7 Mar 2016)
  • [FCA CF] Client dealing (since 7 Mar 2016)
  • CF30 Customer (2 Nov 2015 to 6 Mar 2016)
• Eoin Padhraic O'Grady

  IRN EXO01029

  • CF21 Investment Adviser (16 Jun 2007 to 19 Jun 2007)
• Eri Palmer

  IRN EXP01096

  • CF30 Customer (1 Nov 2007 to 2 Oct 2008)
  • CF21 Investment Adviser (18 Apr 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (8 Nov 2005 to 18 Apr 2006)
• Erika Readdy

  IRN EXR01050

  • CF21 Investment Adviser (2 Oct 2002 to 28 Apr 2004)
• Eryk Czarniecki

  IRN EXC00215

  • [FCA CF] Client dealing (since 24 Mar 2022)
• Esben Urbak

  IRN EXU01023

  • CF30 Customer (15 Feb 2012 to 6 Mar 2016)
• Espedito Peluso

  IRN EXP01052

  • [FCA CF] Manager of certification employee (28 May 2023 to 31 Mar 2024)
  • [FCA CF] Material risk taker (7 Mar 2016 to 31 Mar 2024)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 31 Mar 2024)
• Euan Coleman

  IRN ESC01025

  • [FCA CF] Client dealing (14 Aug 2017 to 22 Nov 2022)
• Eva Patricia Rahel Olsson

  IRN EPO01001

  • CF30 Customer (18 May 2010 to 16 Mar 2015)
• Evanita Marja Ten Napel

  IRN EMT01029

  • CF30 Customer (16 Jan 2012 to 7 May 2015)

No changes recorded yet.