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.

• Norihiro Asada

  IRN NXA01077

  • CF17 Significant Mgt (Other Business Operations) (25 Jun 2003 to 14 Oct 2004)
  • CF16 Significant Mgt (Desgntd Investment Business) (2 Jul 2002 to 14 Oct 2004)
  • CF21 Investment Adviser (1 Dec 2001 to 14 Oct 2004)
• Norihito Tanabe

  IRN NXT01208

  • CF30 Customer (8 Jan 2009 to 28 Sep 2012)
• Noritaka Sugimoto

  IRN NXS87249

  • [FCA CF] Material risk taker (23 Mar 2019 to 13 Feb 2021)
  • [PRA CF] Significant risk taker or Material risk taker (23 Mar 2019 to 13 Feb 2021)
• Noriyuki Takahashi

  IRN NXT01206

  • CF30 Customer (3 Nov 2008 to 31 Mar 2010)
• Olaf Lunemann

  IRN OXL87269

  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 3 Nov 2023)
  • [FCA CF] Material risk taker (7 Mar 2016 to 3 Nov 2023)
• Oliver James Bottomley

  IRN OJB00014

  • [FCA CF] Manager of certification employee (since 1 Sep 2023)
  • [FCA CF] Client dealing (since 5 Dec 2019)
  • [FCA CF] Material risk taker (since 5 Dec 2019)
  • [PRA CF] Significant risk taker or Material risk taker (since 5 Dec 2019)
• Oliver Moore

  IRN OTM01005

  • [FCA CF] Client dealing (since 13 Apr 2026)
• Oliver Page

  IRN OXP01031

  • CF2 Non Executive Director (20 Oct 2006 to 1 Jun 2012)
• Oliver Tomsett

  IRN OXT75462

  • [FCA CF] Client dealing (since 3 Nov 2023)
• Olivia Linssen

  IRN OXL70741

  • [FCA CF] Client dealing (31 May 2023 to 3 Jun 2024)

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