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.

• Kimura Zenta

  IRN KXZ01016

  • CF21 Investment Adviser (1 Nov 2002 to 1 Oct 2004)
• Kirill Dikijs

  IRN KXD01385

  • [FCA CF] Client dealing (19 Nov 2018 to 27 May 2023)
• Kirsty King

  IRN KXK31577

  • [PRA CF] Significant risk taker or Material risk taker (since 21 Mar 2024)
  • [FCA CF] Material risk taker (since 21 Mar 2024)
• Kohei Ueda

  IRN KXU00024

  • [PRA CF] Significant risk taker or Material risk taker (12 Oct 2022 to 1 Apr 2024)
  • [FCA CF] Material risk taker (12 Oct 2022 to 1 Apr 2024)
• Koji Imai

  IRN KXI01055

  • CF30 Customer (4 Jan 2008 to 22 Aug 2008)
• Koji Maeda

  IRN KXM01503

  • CF2 Non Executive Director (10 Feb 2006 to 1 Dec 2006)
• Kojiro Jimbo

  IRN KXJ01141

  • CF30 Customer (28 Jan 2008 to 24 Apr 2012)
• Kokichi Komagata

  IRN KXK01053

  • CF8 Apportionment and Oversight (1 Dec 2001 to 15 Aug 2004)
  • CF3 Chief Executive (1 Dec 2001 to 15 Aug 2004)
  • CF21 Investment Adviser (1 Dec 2001 to 15 Aug 2004)
  • CF1 Director (1 Dec 2001 to 15 Aug 2004)
• Konrad Boszko

  IRN KXB01574

  • [FCA CF] Client dealing (7 Mar 2016 to 10 Aug 2022)
  • CF30 Customer (2 Nov 2015 to 6 Mar 2016)
• Kosuke Ichibe

  IRN KXI01048

  • CF30 Customer (28 Nov 2007 to 10 Sep 2010)
  • CF21 Investment Adviser (9 Jul 2007 to 10 Oct 2007)

No changes recorded yet.