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.

• Kei Okuyama

  IRN KXO00010

  • [FCA CF] Material risk taker (3 Nov 2017 to 31 Jul 2020)
  • [PRA CF] Significant risk taker or Material risk taker (3 Nov 2017 to 31 Jul 2020)
  • [FCA CF] Client dealing (3 Nov 2017 to 31 Jul 2020)
• Kei Shibata

  IRN KXS01217

  • CF21 Investment Adviser (31 Aug 2005 to 8 Jun 2006)
• Keiichi Urata

  IRN KXU01014

  • CF21 Investment Adviser (8 Feb 2005 to 22 Jan 2007)
  • CF16 Significant Mgt (Desgntd Investment Business) (25 Oct 2004 to 22 Jan 2007)
• Keith Geraghty

  IRN KEG01017

  • CF21 Investment Adviser (10 Aug 2005 to 15 Mar 2007)
• Keith Sin Yong Ho

  IRN KSH01015

  • [FCA CF] Material risk taker (7 Oct 2019 to 9 Jan 2023)
  • [PRA CF] Significant risk taker or Material risk taker (7 Oct 2019 to 9 Jan 2023)
• Kenichi Masuda

  IRN KXM01253

  • CF2 Non Executive Director (4 Aug 2004 to 17 Jun 2005)
• Kenichi Yamana

  IRN KXY01048

  • CF14 Risk Assessment (28 Sep 2005 to 6 Jul 2007)
  • CF1 Director (28 Sep 2005 to 6 Jul 2007)
• Kenichiro Yamaguchi

  IRN KXY01023

  • CF21 Investment Adviser (1 Dec 2001 to 14 Mar 2003)
• Kenji Sakatsugi

  IRN KXS01257

  • CF30 Customer (1 Nov 2007 to 3 Sep 2008)
  • CF26 Customer Trading (14 Aug 2006 to 31 Oct 2007)
• Kentaro Suzuki

  IRN KXS01432

  • CF21 Investment Adviser (26 Sep 2005 to 14 Sep 2007)
  • CF22 Investment Adviser (Trainee) (27 Sep 2004 to 26 Sep 2005)

No changes recorded yet.