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

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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.

• Mehmet Gokcedag

  IRN MXG02486

  • [FCA CF] Client dealing (7 Mar 2016 to 26 May 2023)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 26 May 2023)
  • [FCA CF] Material risk taker (7 Mar 2016 to 26 May 2023)
  • CF30 Customer (4 Jan 2016 to 6 Mar 2016)
• Meiko Dittrich

  IRN MXD01714

  • [FCA CF] Client dealing (since 5 Jun 2024)
  • [PRA CF] Significant risk taker or Material risk taker (since 5 Jun 2024)
  • [FCA CF] Material risk taker (since 5 Jun 2024)
• Michael David Tringham

  IRN MDT01081

  • CF30 Customer (1 Nov 2007 to 31 Aug 2014)
  • CF21 Investment Adviser (27 Dec 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (13 Oct 2006 to 27 Dec 2006)
• Michele Peduzzi

  IRN MXP01744

  • [FCA CF] Client dealing (16 Jul 2021 to 17 Jul 2021)
• Michelle Samantha Oster

  IRN MSO01012

  • CF11 Money Laundering Reporting (1 Dec 2001 to 12 Feb 2002)
  • CF10 Compliance Oversight (1 Dec 2001 to 12 Feb 2002)
• Mie Green

  IRN MXG01694

  • CF30 Customer (1 Nov 2007 to 3 Oct 2008)
  • CF22 Investment Adviser (Trainee) (17 May 2007 to 31 Oct 2007)
• Mieke Lieve Patricia D'Hoore

  IRN MXD01272

  • CF21 Investment Adviser (5 Jun 2006 to 28 Sep 2007)
• Miharu Shu

  IRN MXS01230

  • [FCA CF] Client dealing (since 31 Jan 2023)
• Miki Sumioka

  IRN MXS01343

  • [FCA CF] Client dealing (since 15 Jun 2023)
• Milan Stojiljkovic

  IRN MXS01445

  • [FCA CF] Client dealing (since 1 Nov 2024)

No changes recorded yet.