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.

• Kento Suematsu

  IRN KXS00614

  • [FCA CF] Client dealing (6 Mar 2020 to 27 Oct 2023)
• Kerry William Peacock

  IRN KWP01010

  • SMF24 Chief Operations (since 16 Aug 2018)
• Kevin Christopher Fogarty

  IRN KCF01001

  • CF21 Investment Adviser (15 Sep 2003 to 11 Nov 2003)
• Kevin Hayes

  IRN KXH01158

  • CF21 Investment Adviser (1 Dec 2001 to 20 Aug 2005)
• Khushnood Akhtar

  IRN AXK02261

  • [FCA CF] Material risk taker (13 Oct 2022 to 12 Sep 2023)
  • [PRA CF] Significant risk taker or Material risk taker (13 Oct 2022 to 12 Sep 2023)
  • [FCA CF] Client dealing (7 Mar 2016 to 12 Sep 2023)
  • CF30 Customer (27 Feb 2013 to 6 Mar 2016)
• Kieran Hull

  IRN KXH01558

  • [FCA CF] Client dealing (since 5 Dec 2016)
• Kim Elisabeth Pither

  IRN KXP01149

  • CF30 Customer (18 May 2009 to 6 Mar 2016)
• Kim Hatcher

  IRN KMH01112

  • [FCA CF] Material risk taker (since 12 Sep 2025)
  • [PRA CF] Significant risk taker or Material risk taker (since 12 Sep 2025)
• Kim My Du

  IRN KMD01030

  • CF21 Investment Adviser (28 Feb 2005 to 25 Nov 2005)
  • CF22 Investment Adviser (Trainee) (27 Nov 2002 to 28 Feb 2005)
• Kim Ward

  IRN KXW00326

  • [PRA CF] Significant risk taker or Material risk taker (since 8 Nov 2024)
  • [FCA CF] Material risk taker (since 8 Nov 2024)
  • [PRA CF] Significant risk taker or Material risk taker (20 Dec 2022 to 1 Apr 2023)
  • [FCA CF] Material risk taker (20 Dec 2022 to 1 Apr 2023)

No changes recorded yet.