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.

• Jacob Cutts

  IRN JXC01948

  • [FCA CF] Material risk taker (since 7 Mar 2016)
  • [FCA CF] Client dealing (since 7 Mar 2016)
  • [PRA CF] Significant risk taker or Material risk taker (since 7 Mar 2016)
  • CF30 Customer (9 Sep 2011 to 6 Mar 2016)
• Jamal Jeremiah Akinjobi Shonde

  IRN JXS87448

  • [FCA CF] Client dealing (5 Jun 2017 to 16 Mar 2020)
• James Aylwin Selfe

  IRN JAS01197

  • [FCA CF] Material risk taker (7 Mar 2016 to 30 Sep 2024)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 30 Sep 2024)
  • CF30 Customer (1 Nov 2007 to 11 Jul 2013)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• James Banurji

  IRN JXB70657

  • [FCA CF] Material risk taker (1 Jun 2023 to 2 Jun 2023)
  • [PRA CF] Significant risk taker or Material risk taker (1 Jun 2023 to 2 Jun 2023)
  • [FCA CF] Client dealing (18 Mar 2016 to 15 Aug 2025)
• James Copper

  IRN JAC01357

  • [FCA CF] Client dealing (since 3 Jul 2017)
• James Frampton

  IRN JXF87437

  • [FCA CF] Material risk taker (30 Oct 2018 to 15 Sep 2025)
  • [PRA CF] Significant risk taker or Material risk taker (30 Oct 2018 to 15 Sep 2025)
• James Hart

  IRN JRH01228

  • [FCA CF] Client dealing (since 7 Mar 2016)
  • [FCA CF] Material risk taker (7 Mar 2016 to 1 Apr 2024)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 1 Apr 2024)
• James Hickinbotham

  IRN JSH01097

  • CF21 Investment Adviser (15 May 2003 to 14 Jul 2004)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 15 May 2003)
• James Kennedy O'Shea

  IRN JKO01019

  • SMF5 Head of Internal Audit (4 Jul 2018 to 1 Sep 2019)
• James Mallett Powell

  IRN JMP01099

  • CF30 Customer (26 Aug 2009 to 29 Feb 2012)

No changes recorded yet.