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.

• Paul Cantlon

  IRN PXC88232

  • [FCA CF] Client dealing (since 17 Jan 2023)
  • [FCA CF] Proprietary trader (17 Jan 2023 to 27 May 2023)
• Paul Felice Morganti

  IRN PFM01020

  • CF30 Customer (1 Nov 2007 to 1 Mar 2015)
  • CF29 Significant management (1 Nov 2007 to 1 Mar 2015)
  • CF17 Significant Mgt (Other Business Operations) (3 Sep 2003 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Paul Hibberd

  IRN PXH87439

  • [PRA CF] Significant risk taker or Material risk taker (3 Oct 2018 to 12 Mar 2024)
  • [FCA CF] Material risk taker (3 Oct 2018 to 12 Mar 2024)
• Paul Leonard Cannell

  IRN PLC01024

  • CF30 Customer (11 Apr 2011 to 6 Mar 2016)
• Paul Ronald Mitchell

  IRN PRM01083

  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Paul Stanley Gooding

  IRN PSG01022

  • [FCA CF] Client dealing (12 May 2021 to 26 Aug 2022)
  • [FCA CF] Material risk taker (12 May 2021 to 26 Aug 2022)
  • [PRA CF] Significant risk taker or Material risk taker (12 May 2021 to 26 Aug 2022)
• Paul-Alexander Boot-Handford

  IRN PXB01646

  • [FCA CF] Client dealing (7 Mar 2016 to 27 May 2023)
• Peter Cheung

  IRN PXC01470

  • CF22 Investment Adviser (Trainee) (4 Oct 2002 to 9 May 2003)
• Peter Gerard Brooks

  IRN PXB00789

  • [FCA CF] Client dealing (since 8 Oct 2025)
  • [PRA CF] Significant risk taker or Material risk taker (since 8 Oct 2025)
  • [FCA CF] Material risk taker (since 8 Oct 2025)
  • [FCA CF] Manager of certification employee (since 8 Oct 2025)
• Peter Hanrott

  IRN PXH87438

  • [FCA CF] Manager of certification employee (since 28 May 2023)
  • [FCA CF] Client dealing (since 3 Jul 2017)
  • [PRA CF] Significant risk taker or Material risk taker (1 May 2018 to 20 Sep 2024)
  • [FCA CF] Material risk taker (1 May 2018 to 20 Sep 2024)

No changes recorded yet.