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.

• Martin John Anderson

  IRN MJA01111

  • CF21 Investment Adviser (26 Jul 2002 to 31 Jul 2003)
• Martin John Higgs

  IRN MJH01413

  • CF29 Significant management (1 Nov 2007 to 21 Jan 2008)
  • CF20 Significant Mgt (Settlements) (2 Jul 2003 to 31 Oct 2007)
• Martin John Scannell

  IRN MJS01311

  • CF21 Investment Adviser (9 Jul 2002 to 7 Oct 2004)
• Martin Johnson

  IRN MXJ01847

  • SMF24 Chief Operations (3 Sep 2018 to 30 Jun 2022)
• Martin Lawrence McGovern

  IRN MLM01107

  • [PRA CF] Significant risk taker or Material risk taker (since 1 Jun 2025)
  • [FCA CF] Material risk taker (since 1 Jun 2025)
  • [FCA CF] Client dealing (since 8 Feb 2023)
• Maryum Aftab

  IRN MXA87424

  • [FCA CF] Client dealing (7 Mar 2019 to 31 Jul 2021)
• Masahiko Nishimura

  IRN MXN87238

  • [FCA CF] Material risk taker (5 Nov 2017 to 4 Mar 2022)
  • [PRA CF] Significant risk taker or Material risk taker (5 Nov 2017 to 4 Mar 2022)
• Masahiro Kuwahara

  IRN MXK02682

  • [PRA CF] Significant risk taker or Material risk taker (30 Nov 2022 to 1 Apr 2025)
  • [FCA CF] Material risk taker (30 Nov 2022 to 1 Apr 2025)
  • Director of firm who is not a certification employee or a SMF manager (27 Apr 2022 to 1 Apr 2025)
• Masahiro Ono

  IRN MXO87271

  • [PRA CF] Significant risk taker or Material risk taker (24 Nov 2017 to 1 Apr 2022)
  • [FCA CF] Client dealing (24 Nov 2017 to 21 Feb 2025)
  • [FCA CF] Manager of certification employee (24 Nov 2017 to 21 Feb 2025)
  • [FCA CF] Material risk taker (24 Nov 2017 to 1 Apr 2022)
• Masaki Azuma

  IRN MXA01060

  • [FCA CF] Client dealing (since 6 Jun 2024)

No changes recorded yet.