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.

• Masaki Koga

  IRN MXK01696

  • CF30 Customer (25 Apr 2008 to 23 Feb 2009)
• Masamichi Yamada

  IRN MXY01047

  • CF2 Non Executive Director (1 Dec 2001 to 26 Jun 2002)
• Masamichi Yasuda

  IRN MXY01248

  • Director of firm who is not a certification employee or a SMF manager (7 Mar 2016 to 1 Apr 2021)
  • CF2 Non Executive Director (7 Nov 2014 to 6 Mar 2016)
• Masanori Takanashi

  IRN MXT70669

  • [FCA CF] Client dealing (21 Oct 2019 to 10 May 2024)
• Masashi Kanematsu

  IRN MXK00330

  • [FCA CF] Material risk taker (28 Dec 2022 to 1 Apr 2025)
  • [PRA CF] Significant risk taker or Material risk taker (28 Dec 2022 to 1 Apr 2025)
  • Director of firm who is not a certification employee or a SMF manager (28 Apr 2021 to 1 Apr 2025)
• Masashi Miyazaki

  IRN MXM01408

  • CF21 Investment Adviser (1 Dec 2001 to 3 Jul 2003)
• Masato Miyachi

  IRN MXM03216

  • CF2 Non Executive Director (2 Oct 2014 to 6 Mar 2016)
• Masatoshi Komoriya

  IRN MXK00946

  • Director of firm who is not a certification employee or a SMF manager (since 5 Jun 2025)
• Masatoshi Noda

  IRN MXN87239

  • [FCA CF] Material risk taker (22 Apr 2017 to 31 Mar 2021)
  • [PRA CF] Significant risk taker or Material risk taker (22 Apr 2017 to 31 Mar 2021)
• Masaya Higashi

  IRN MXH01405

  • CF21 Investment Adviser (1 Dec 2001 to 30 Jun 2005)

No changes recorded yet.