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.

• Louis Sangan

  IRN LXS71666

  • [FCA CF] Client dealing (since 2 Dec 2025)
• Louise Suzanne Françoise Caprani

  IRN LXC00131

  • [PRA CF] Significant risk taker or Material risk taker (28 Feb 2025 to 6 Aug 2025)
  • [FCA CF] Material risk taker (28 Feb 2025 to 6 Aug 2025)
  • [FCA CF] Client dealing (10 Feb 2021 to 6 Aug 2025)
• Luca Rimoldi

  IRN LXR01198

  • CF21 Investment Adviser (2 Oct 2006 to 22 May 2007)
• Luke Bennett

  IRN LXB01839

  • [FCA CF] Client dealing (23 Apr 2019 to 8 Nov 2022)
• Luke Tiller

  IRN LMT01047

  • CF30 Customer (10 Feb 2011 to 6 Mar 2016)
• Lydia Ho

  IRN LXH00204

  • [FCA CF] Client dealing (since 10 Mar 2021)
• Lynne Irwin

  IRN LXI00062

  • [FCA CF] Material risk taker (since 27 Jan 2026)
  • [PRA CF] Significant risk taker or Material risk taker (since 27 Jan 2026)
• Madeleine Brookes

  IRN MXB04334

  • [FCA CF] Client dealing (since 19 Feb 2026)
• Maia McAlister

  IRN MXM01445

  • CF21 Investment Adviser (15 May 2003 to 22 Jun 2005)
  • CF22 Investment Adviser (Trainee) (18 Dec 2002 to 15 May 2003)
• Maiko Koshibe

  IRN MXK01428

  • CF21 Investment Adviser (8 Oct 2003 to 19 Aug 2005)

No changes recorded yet.