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

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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.

• Fabianna Del Canto

  IRN FXD01162

  • [FCA CF] Significant management (since 21 Jun 2023)
  • [FCA CF] Manager of certification employee (since 4 May 2022)
  • [PRA CF] Significant risk taker or Material risk taker (since 4 May 2022)
  • [FCA CF] Client dealing (since 4 May 2022)
  • [FCA CF] Material risk taker (since 4 May 2022)
• Faisal Hayat

  IRN FXH01044

  • CF29 Significant management (8 Feb 2010 to 8 Feb 2012)
  • CF30 Customer (9 Mar 2009 to 17 Dec 2015)
• Faraz Ahmad

  IRN FXA01157

  • [FCA CF] Significant management (21 Jun 2023 to 6 Jun 2024)
  • [FCA CF] Manager of certification employee (28 May 2023 to 6 Jun 2024)
  • [FCA CF] Client dealing (7 Mar 2016 to 6 Jun 2024)
  • [FCA CF] Material risk taker (7 Mar 2016 to 6 Jun 2024)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 6 Jun 2024)
  • CF30 Customer (10 Mar 2008 to 6 Mar 2016)
• Fearghal Colmcille Mark Swords

  IRN FCS01012

  • [FCA CF] Manager of certification employee (since 6 Oct 2025)
  • [FCA CF] Client dealing (since 11 Jul 2025)
  • [FCA CF] Material risk taker (since 11 Jul 2025)
  • [PRA CF] Significant risk taker or Material risk taker (since 11 Jul 2025)
• Fergus Evan Butler Edwards

  IRN FEE01005

  • CF30 Customer (2 Jul 2012 to 6 Mar 2016)
• Fernando Alvarez

  IRN FXA01102

  • CF30 Customer (11 May 2009 to 27 May 2010)
• Finlay McBrearty

  IRN FXM00223

  • [FCA CF] Client dealing (16 Sep 2022 to 13 Sep 2024)
• Flint Sperber

  IRN FXS01058

  • CF21 Investment Adviser (23 Sep 2004 to 19 May 2006)
• Florent Boussie

  IRN FAB01035

  • CF30 Customer (21 Dec 2007 to 2 Oct 2008)
• Frances Mary O'Connell

  IRN FMO01008

  • CF30 Customer (1 Nov 2007 to 15 Apr 2009)
  • CF21 Investment Adviser (4 May 2004 to 31 Oct 2007)

No changes recorded yet.