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.

• Geoffroy Charles

  IRN GXC00384

  • [PRA CF] Significant risk taker or Material risk taker (23 May 2022 to 16 Feb 2024)
  • [FCA CF] Material risk taker (23 May 2022 to 16 Feb 2024)
• Georgina Davidson

  IRN GXD01444

  • CF30 Customer (8 Feb 2011 to 23 Apr 2014)
• Geraint Andrew Thomas

  IRN GAT01025

  • [FCA CF] Material risk taker (7 Mar 2016 to 31 Dec 2022)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 31 Dec 2022)
  • [FCA CF] Client dealing (7 Mar 2016 to 31 Dec 2022)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Gilbert Sai Kin Wu

  IRN GSW01034

  • CF21 Investment Adviser (10 Feb 2003 to 9 May 2003)
  • CF22 Investment Adviser (Trainee) (11 Jun 2002 to 12 Dec 2002)
• Giles Sarson

  IRN GES01019

  • CF30 Customer (1 Nov 2007 to 2 Oct 2008)
  • CF21 Investment Adviser (1 Oct 2005 to 31 Oct 2007)
• Glen Moore

  IRN GDM01052

  • CF17 Significant Mgt (Other Business Operations) (28 Mar 2002 to 11 Jun 2003)
  • CF21 Investment Adviser (1 Dec 2001 to 4 Jan 2006)
• Glyn MacPherson

  IRN GXM01340

  • CF30 Customer (1 Nov 2007 to 1 Jun 2015)
  • CF21 Investment Adviser (10 Jan 2006 to 31 Oct 2007)
• Go Ohara

  IRN GXO87280

  • [FCA CF] Client dealing (5 Feb 2020 to 4 Mar 2022)
  • [FCA CF] Material risk taker (5 Feb 2020 to 4 Mar 2022)
  • [PRA CF] Significant risk taker or Material risk taker (5 Feb 2020 to 4 Mar 2022)
• Gordon Henry

  IRN GXH87264

  • [FCA CF] Manager of certification employee (1 Sep 2023 to 25 Sep 2025)
  • [PRA CF] Significant risk taker or Material risk taker (25 Sep 2018 to 25 Sep 2025)
  • [FCA CF] Material risk taker (25 Sep 2018 to 25 Sep 2025)
• Gordon James Sangster

  IRN GJS01112

  • Director of firm who is not a certification employee or a SMF manager (1 Jul 2021 to 27 Oct 2021)
  • SMF10 Chair of the Risk Committee (25 Sep 2017 to 1 Jul 2021)

No changes recorded yet.