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.

• James Matthew Howard

  IRN JXH03185

  • [FCA CF] Client dealing (since 11 Apr 2025)
• James Matthew Read

  IRN JMR01147

  • CF30 Customer (1 Nov 2007 to 22 May 2009)
  • CF21 Investment Adviser (23 Sep 2003 to 31 Oct 2007)
• James Morgan

  IRN JXM87440

  • [PRA CF] Significant risk taker or Material risk taker (since 8 Oct 2018)
  • [FCA CF] Material risk taker (since 8 Oct 2018)
  • [FCA CF] Manager of certification employee (28 May 2023 to 27 May 2024)
• James Murray Alexander Ferguson

  IRN JMF01091

  • CF21 Investment Adviser (1 Dec 2001 to 9 May 2003)
• James Oliver Dereing Harris

  IRN JOH01012

  • CF30 Customer (10 Nov 2010 to 17 Jun 2014)
• James Owen Croft

  IRN JOC01010

  • CF30 Customer (18 Aug 2010 to 27 Jun 2012)
• James Richard Michael Peters

  IRN JRP01166

  • [FCA CF] Material risk taker (2 Oct 2017 to 28 Feb 2026)
  • [PRA CF] Significant risk taker or Material risk taker (2 Oct 2017 to 28 Feb 2026)
• James Suzuki

  IRN JTS01046

  • CF21 Investment Adviser (17 Jul 2006 to 19 Jan 2007)
• James Trelawny Courtenay Gayer

  IRN JTG01040

  • [FCA CF] Client dealing (7 Mar 2016 to 11 Apr 2022)
• James Treseder-Griffin

  IRN JXT87442

  • [FCA CF] Client dealing (18 Nov 2019 to 30 Jul 2021)
  • [PRA CF] Significant risk taker or Material risk taker (18 Nov 2019 to 30 Jul 2021)
  • [FCA CF] Material risk taker (18 Nov 2019 to 30 Jul 2021)

No changes recorded yet.