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.

• Nisrin Khachab

  IRN NXK87227

  • [PRA CF] Significant risk taker or Material risk taker (since 7 Mar 2016)
  • [FCA CF] Material risk taker (since 7 Mar 2016)
• Noah Goros

  IRN NXG00324

  • [FCA CF] Client dealing (since 23 Dec 2024)
• Nobuho Nanjo

  IRN NXN01065

  • SMF1 Chief Executive (since 1 Apr 2025)
  • [FCA CF] Material risk taker (16 Jun 2023 to 31 Mar 2025)
  • [FCA CF] Significant management (16 Jun 2023 to 31 Mar 2025)
  • [PRA CF] Significant risk taker or Material risk taker (16 Jun 2023 to 31 Mar 2025)
  • [FCA CF] Client dealing (16 Jun 2023 to 31 Mar 2025)
  • [FCA CF] Manager of certification employee (16 Jun 2023 to 31 Mar 2025)
• Nobukazu Saeki

  IRN NXS01433

  • CF30 Customer (1 Nov 2007 to 7 Nov 2008)
  • CF21 Investment Adviser (20 Oct 2005 to 31 Oct 2007)
• Nobuki Sasaki

  IRN NXS87274

  • [FCA CF] Material risk taker (15 Jan 2019 to 1 Apr 2022)
  • [PRA CF] Significant risk taker or Material risk taker (15 Jan 2019 to 1 Apr 2022)
  • [FCA CF] Client dealing (15 Jan 2019 to 12 Jul 2024)
• Nobuto Tamura

  IRN NXT01127

  • CF30 Customer (1 Nov 2007 to 10 Sep 2010)
  • CF21 Investment Adviser (1 Apr 2004 to 31 Oct 2007)
• Nobuyuki Sakakura

  IRN NXS01151

  • CF21 Investment Adviser (1 Dec 2001 to 30 Jan 2002)
• Nobuyuki Uchida

  IRN NXU01036

  • CF2 Non Executive Director (9 Oct 2014 to 6 Mar 2016)
  • CF28 Systems and controls (4 Feb 2013 to 15 Aug 2014)
  • CF1 Director (20 Jun 2012 to 9 Oct 2014)
• Norbert Wilms

  IRN NXW01268

  • [PRA CF] Significant risk taker or Material risk taker (since 23 Jan 2024)
  • [FCA CF] Material risk taker (since 23 Jan 2024)
• Noriaki Nomura

  IRN NXN01087

  • CF30 Customer (1 Nov 2007 to 25 Jul 2011)
  • CF21 Investment Adviser (8 Dec 2006 to 31 Oct 2007)

No changes recorded yet.