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.

• Milena Sheahan

  IRN MXS05495

  • [FCA CF] Manager of certification employee (since 6 Feb 2026)
  • [FCA CF] Material risk taker (since 6 Feb 2026)
  • [PRA CF] Significant risk taker or Material risk taker (since 6 Feb 2026)
  • [FCA CF] Client dealing (since 6 Feb 2026)
• Misako Brown

  IRN MXB01603

  • [FCA CF] Client dealing (7 Mar 2016 to 21 Feb 2025)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (24 Jun 2003 to 31 Oct 2007)
• Mitsuo Kumata

  IRN MXK01158

  • CF16 Significant Mgt (Desgntd Investment Business) (25 Mar 2002 to 30 Aug 2002)
  • CF17 Significant Mgt (Other Business Operations) (1 Dec 2001 to 20 Aug 2002)
  • CF21 Investment Adviser (1 Dec 2001 to 20 Aug 2002)
• Mitsuru Matsushima

  IRN MXM01492

  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 28 Jun 2002)
  • CF21 Investment Adviser (1 Dec 2001 to 1 Jul 2002)
• Mohamed Vakil

  IRN MIV01003

  • [FCA CF] Client dealing (since 7 Jan 2020)
  • CF30 Customer (22 Apr 2009 to 24 Jun 2015)
• Moncef Chaabouni

  IRN MXC01920

  • [FCA CF] Significant management (since 6 Aug 2025)
  • [FCA CF] Manager of certification employee (since 28 May 2023)
  • [FCA CF] Client dealing (since 7 Mar 2016)
  • [PRA CF] Significant risk taker or Material risk taker (since 7 Mar 2016)
  • [FCA CF] Material risk taker (since 7 Mar 2016)
  • CF30 Customer (31 Mar 2015 to 6 Mar 2016)
• Monika Fedoraviciute

  IRN MXF01690

  • CF30 Customer (14 Mar 2012 to 6 Mar 2016)
• Mounir Naffi

  IRN MXN01234

  • CF30 Customer (9 May 2011 to 23 Mar 2012)
• Naeem Choudry

  IRN NXC01134

  • [FCA CF] Material risk taker (since 15 Aug 2017)
  • [PRA CF] Significant risk taker or Material risk taker (since 15 Aug 2017)
  • [FCA CF] Client dealing (28 May 2023 to 11 Oct 2023)
  • [FCA CF] Manager of certification employee (28 May 2023 to 11 Oct 2023)
• Naohiro Oishi

  IRN NXO01066

  • CF30 Customer (1 Nov 2007 to 1 May 2009)
  • CF21 Investment Adviser (1 Feb 2007 to 31 Oct 2007)

No changes recorded yet.