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.

• Masaya Ito

  IRN MXI01035

  • CF16 Significant Mgt (Desgntd Investment Business) (11 Oct 2004 to 29 May 2007)
  • CF21 Investment Adviser (11 Oct 2004 to 29 May 2007)
• Massimo Amati

  IRN MXA01232

  • CF30 Customer (1 Nov 2007 to 26 Aug 2008)
  • CF21 Investment Adviser (2 May 2006 to 31 Oct 2007)
• Masumi Higashi

  IRN MXH01885

  • [FCA CF] Client dealing (7 Mar 2016 to 30 Sep 2022)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (30 Oct 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (9 May 2006 to 30 Oct 2006)
• Mathew Neville Smith

  IRN MNS01077

  • CF30 Customer (1 Aug 2014 to 6 Mar 2016)
• Mathias Jacques Andre Caquet

  IRN MJC01529

  • CF30 Customer (1 Nov 2007 to 30 Apr 2010)
  • CF22 Investment Adviser (Trainee) (3 Oct 2007 to 31 Oct 2007)
• Mathias Noack

  IRN MXN87277

  • [PRA CF] Significant risk taker or Material risk taker (1 May 2018 to 27 May 2023)
  • [FCA CF] Client dealing (1 May 2018 to 27 May 2023)
  • [FCA CF] Manager of certification employee (1 May 2018 to 27 May 2023)
  • [FCA CF] Material risk taker (1 May 2018 to 27 May 2023)
• Matteo Ferrario

  IRN MXF01142

  • [FCA CF] Significant management (since 21 Jun 2023)
  • [FCA CF] Client dealing (since 13 Feb 2020)
  • [PRA CF] Significant risk taker or Material risk taker (since 13 Feb 2020)
  • [FCA CF] Material risk taker (since 13 Feb 2020)
  • [FCA CF] Manager of certification employee (since 13 Feb 2020)
• Matthew Bell

  IRN MXB01105

  • [FCA CF] Client dealing (since 10 Mar 2023)
• Matthew James Smith

  IRN MJS01260

  • CF26 Customer Trading (5 Apr 2002 to 10 Aug 2007)
• Matthew Joel Watson

  IRN MJW01423

  • [FCA CF] Client dealing (10 Mar 2020 to 25 May 2023)

No changes recorded yet.