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.

• Isabella Lander

  IRN IXL70664

  • [FCA CF] Client dealing (20 Dec 2018 to 11 Jun 2021)
• Ivan Marcinko

  IRN IXM01220

  • SMF6 Head of Key Business Areas (19 Sep 2024 to 1 Nov 2025)
  • [FCA CF] Significant management (21 Jun 2023 to 19 Sep 2024)
  • [FCA CF] Material risk taker (2 Nov 2021 to 19 Sep 2024)
  • [PRA CF] Significant risk taker or Material risk taker (2 Nov 2021 to 19 Sep 2024)
  • [FCA CF] Client dealing (2 Nov 2021 to 19 Sep 2024)
  • [FCA CF] Manager of certification employee (2 Nov 2021 to 19 Sep 2024)
  • CF30 Customer (29 Nov 2013 to 6 Mar 2016)
• Ivana Kojic

  IRN IXK00125

  • [FCA CF] Client dealing (since 7 Aug 2023)
• Ivor Burgos

  IRN IXB00243

  • [FCA CF] Client dealing (since 17 Jan 2025)
• Izabela Szmidt

  IRN IXS01132

  • CF30 Customer (14 Jun 2010 to 21 Dec 2011)
• Jack Dulieu

  IRN JXD00771

  • [FCA CF] Client dealing (3 Jul 2023 to 16 Sep 2025)
• Jack Fitzsimons

  IRN JXF00630

  • [FCA CF] Client dealing (since 13 Aug 2024)
• Jack Henry William Buckland

  IRN JXB02680

  • [FCA CF] Client dealing (28 May 2023 to 27 Jun 2023)
• Jack Leversidge

  IRN JXL00747

  • [FCA CF] Client dealing (since 5 Jan 2024)
• Jack Lewis

  IRN MJL01219

  • [FCA CF] Client dealing (since 7 Mar 2016)

No changes recorded yet.