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.

• Jonathan Paul Ratcliffe

  IRN JPR01070

  • CF21 Investment Adviser (18 Mar 2002 to 6 May 2003)
• Jonathan Segal

  IRN JLS01079

  • [FCA CF] Manager of certification employee (28 May 2023 to 4 Jul 2024)
  • [FCA CF] Client dealing (18 Jan 2018 to 4 Jul 2024)
  • [PRA CF] Significant risk taker or Material risk taker (18 Jan 2018 to 4 Jul 2024)
  • [FCA CF] Material risk taker (18 Jan 2018 to 4 Jul 2024)
  • CF30 Customer (9 Jun 2014 to 6 Mar 2016)
• Jorge Lobo Martin

  IRN JXL02148

  • CF30 Customer (30 Nov 2015 to 6 Mar 2016)
• Jose Francisco Souto Martinez

  IRN JXS70634

  • [FCA CF] Manager of certification employee (since 3 Jun 2025)
  • [FCA CF] Client dealing (since 3 Jun 2025)
• Joseph Dempster Smallman

  IRN JXS01420

  • CF21 Investment Adviser (1 Dec 2001 to 15 Nov 2002)
• Joseph Redmond Schmuckler

  IRN JRS01263

  • CF2 Non Executive Director (10 Oct 2007 to 24 Mar 2010)
• Joshua Philip White

  IRN JXW70649

  • [FCA CF] Client dealing (7 Mar 2016 to 20 Jul 2020)
• Julia Becker

  IRN JXB01207

  • [FCA CF] Client dealing (since 12 Oct 2022)
• Julien Lange

  IRN JXL01812

  • [PRA CF] Significant risk taker or Material risk taker (3 Mar 2022 to 9 Jul 2024)
  • [FCA CF] Algorithmic trading (3 Mar 2022 to 27 May 2023)
  • [FCA CF] Client dealing (3 Mar 2022 to 9 Jul 2024)
  • [FCA CF] Manager of certification employee (3 Mar 2022 to 9 Jul 2024)
  • [FCA CF] Material risk taker (3 Mar 2022 to 9 Jul 2024)
• Jun Adachi

  IRN JXA87207

  • [FCA CF] Material risk taker (5 Oct 2019 to 25 Apr 2024)
  • [PRA CF] Significant risk taker or Material risk taker (5 Oct 2019 to 25 Apr 2024)

No changes recorded yet.