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.

• Govinda Gill

  IRN GXG01307

  • CF30 Customer (12 Oct 2012 to 20 Mar 2015)
• Graeme Wadsworth

  IRN GJW01066

  • CF30 Customer (2 Sep 2009 to 6 Mar 2016)
• Graham Pugh

  IRN GXP70667

  • [FCA CF] Client dealing (9 Jul 2018 to 18 Feb 2025)
• Gregory Edouard Marie Berthier

  IRN GEB01041

  • CF30 Customer (1 May 2013 to 20 Feb 2014)
• Gregory Ronald James Bufton

  IRN GRB01053

  • CF30 Customer (1 Nov 2007 to 6 Feb 2015)
  • CF21 Investment Adviser (1 Mar 2006 to 31 Oct 2007)
• Grzegorz Krzysztof Jarzabek

  IRN GKJ01018

  • CF30 Customer (22 Apr 2009 to 6 Mar 2016)
• Guilhem Fesquet

  IRN GXF01197

  • CF30 Customer (10 Sep 2010 to 8 Jan 2013)
• Guillaume Jean-Marie Benjamin Denis Jacq Perrin

  IRN GJP01119

  • CF30 Customer (1 May 2012 to 6 Feb 2015)
• Guillaume Remy

  IRN GAR01082

  • [FCA CF] Material risk taker (18 Jan 2021 to 21 Jul 2023)
  • [PRA CF] Significant risk taker or Material risk taker (18 Jan 2021 to 21 Jul 2023)
  • [FCA CF] Client dealing (18 Jan 2021 to 21 Jul 2023)
• Gus Holloway

  IRN GXH87217

  • [FCA CF] Manager of certification employee (since 28 May 2023)
  • [PRA CF] Significant risk taker or Material risk taker (since 30 May 2016)
  • [FCA CF] Material risk taker (since 30 May 2016)

No changes recorded yet.