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

  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.

• Authorised to Operate

  For Eligible Counterparty, Professional

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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

  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.

• 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

  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.

• 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.

• Marcus Benjamin Courtenay Musgrave

  IRN MBM01023

  • CF30 Customer (1 Nov 2007 to 2 Jun 2008)
  • CF21 Investment Adviser (29 Sep 2006 to 31 Oct 2007)
• Marcus Bryan Ashworth

  IRN MBA01012

  • CF21 Investment Adviser (2 Sep 2002 to 20 Sep 2006)
• Margot King

  IRN MXK87231

  • [FCA CF] Material risk taker (18 Aug 2019 to 31 Dec 2024)
  • [PRA CF] Significant risk taker or Material risk taker (18 Aug 2019 to 31 Dec 2024)
• Mari Akizuki

  IRN MXA03664

  • CF30 Customer (1 Feb 2016 to 6 Mar 2016)
• Maria Asprouli

  IRN MXA01464

  • CF30 Customer (1 Nov 2007 to 18 Apr 2008)
  • CF21 Investment Adviser (3 Jan 2006 to 31 Oct 2007)
• Maria Grigoryeva

  IRN MXG02466

  • [PRA CF] Significant risk taker or Material risk taker (since 25 Jun 2025)
  • [FCA CF] Material risk taker (since 25 Jun 2025)
  • [FCA CF] Client dealing (since 25 Jun 2025)
• Maria Hunter

  IRN MXH01507

  • CF30 Customer (25 Feb 2008 to 2 Oct 2008)
• Maria Svet

  IRN MXS04563

  • [FCA CF] Client dealing (since 16 Sep 2022)
• MariaLaura Aymerich

  IRN MXA44873

  • [FCA CF] Client dealing (since 8 Mar 2023)
• Marie-Michele Brault

  IRN MXB01409

  • [FCA CF] Client dealing (since 13 Jun 2024)

No changes recorded yet.