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.

• Karen Owen

  IRN KXO87278

  • [FCA CF] Manager of certification employee (7 Feb 2025 to 24 Jun 2025)
  • [FCA CF] Material risk taker (18 Aug 2019 to 24 Jun 2025)
  • [PRA CF] Significant risk taker or Material risk taker (18 Aug 2019 to 24 Jun 2025)
• Kate Harriet Tucker

  IRN KXT01200

  • CF21 Investment Adviser (14 Jul 2004 to 20 Jun 2007)
• Katsuhito Seki

  IRN KXS01683

  • CF30 Customer (8 Feb 2010 to 14 Jan 2016)
• Katsunari Kobayashi

  IRN KXK01260

  • CF30 Customer (1 Nov 2007 to 23 Apr 2009)
  • CF21 Investment Adviser (10 Nov 2005 to 31 Oct 2007)
• Katsunori Yokomaku

  IRN KXY00025

  • Director of firm who is not a certification employee or a SMF manager (28 Apr 2021 to 31 Mar 2022)
• Katsuyuki Tadokoro

  IRN KXT01250

  • CF30 Customer (1 Nov 2007 to 22 Feb 2008)
  • CF21 Investment Adviser (21 Mar 2007 to 31 Oct 2007)
• Kazufumi Tanaka

  IRN KXT01311

  • CF30 Customer (8 Feb 2010 to 30 Jul 2010)
• Kazuhiko Yasumatsu

  IRN KXY01029

  • CF21 Investment Adviser (1 Dec 2001 to 8 May 2007)
• Kazuhiro Murakami

  IRN KXM01414

  • CF30 Customer (1 Nov 2007 to 19 Dec 2008)
  • CF21 Investment Adviser (25 Aug 2004 to 31 Oct 2007)
• Kazuma Inoue

  IRN KXI87218

  • [FCA CF] Material risk taker (28 Feb 2017 to 10 Mar 2021)
  • [PRA CF] Significant risk taker or Material risk taker (28 Feb 2017 to 10 Mar 2021)

No changes recorded yet.