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.

• Jamie Harrower Guild

  IRN JHG01025

  • [FCA CF] Manager of certification employee (since 28 May 2023)
  • [FCA CF] Client dealing (since 7 Mar 2016)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 1 Apr 2022)
  • [FCA CF] Material risk taker (7 Mar 2016 to 1 Apr 2022)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Jan Ole Kiso

  IRN JOK01003

  • CF21 Investment Adviser (18 Feb 2002 to 10 Feb 2004)
  • CF26 Customer Trading (22 Jan 2002 to 10 Feb 2002)
• Jane Alimonda

  IRN JXA87444

  • [PRA CF] Significant risk taker or Material risk taker (26 Jun 2018 to 31 Dec 2022)
  • [FCA CF] Material risk taker (26 Jun 2018 to 31 Dec 2022)
• Jani Christian Lindholm

  IRN JCL01088

  • CF30 Customer (11 Oct 2010 to 20 Jul 2011)
• Jason Greig

  IRN JXG00650

  • [FCA CF] Material risk taker (16 May 2023 to 30 Jun 2023)
  • [PRA CF] Significant risk taker or Material risk taker (16 May 2023 to 30 Jun 2023)
• Jean-Francois Nicholas Jacques Lucas

  IRN JNL01013

  • CF30 Customer (1 Nov 2007 to 24 Jun 2015)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Jeffrey Gregor Folkins

  IRN JGF01022

  • CF30 Customer (1 Nov 2007 to 28 Jan 2009)
  • CF21 Investment Adviser (9 Nov 2004 to 31 Oct 2007)
• Jennie Oswald

  IRN JXO00331

  • SMF2 Chief Finance (since 24 Mar 2026)
  • [PRA CF] Significant risk taker or Material risk taker (since 1 Apr 2025)
  • [FCA CF] Material risk taker (since 1 Apr 2025)
• Jens Rueber

  IRN JMR01202

  • [FCA CF] Manager of certification employee (since 28 May 2023)
  • [PRA CF] Significant risk taker or Material risk taker (since 1 May 2018)
  • [FCA CF] Material risk taker (since 1 May 2018)
  • [FCA CF] Client dealing (since 15 Aug 2017)
• Jens Skoennaa

  IRN JXS87431

  • [FCA CF] Client dealing (25 May 2016 to 9 Sep 2024)

No changes recorded yet.