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

  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.

• 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.

• Peter Hosier

  IRN PMH01140

  • [PRA CF] Significant risk taker or Material risk taker (5 Dec 2016 to 28 Feb 2022)
  • [FCA CF] Material risk taker (5 Dec 2016 to 28 Feb 2022)
• Peter John Charles Brooks

  IRN PJB01297

  • CF21 Investment Adviser (12 Jan 2002 to 27 Aug 2002)
• Peter John O'Neill

  IRN PJO01038

  • CF23 Corporate Finance Adviser (1 Dec 2001 to 15 Nov 2002)
  • CF26 Customer Trading (1 Dec 2001 to 15 Nov 2002)
• Peter John Wells

  IRN PJW01142

  • CF30 Customer (25 Jan 2012 to 25 Jun 2015)
• Peter John Wilson

  IRN PJW01138

  • CF30 Customer (1 Nov 2007 to 1 Dec 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Peter Joseph Turney

  IRN PJT01112

  • CF30 Customer (19 Nov 2012 to 27 Jan 2015)
• Peter Joseph Watson

  IRN PJW01159

  • CF30 Customer (1 Nov 2007 to 15 Feb 2011)
  • CF21 Investment Adviser (20 Jun 2006 to 31 Oct 2007)
• Peter Mark Godfrey

  IRN PMG01040

  • [PRA CF] Significant risk taker or Material risk taker (since 19 Jul 2016)
  • [FCA CF] Material risk taker (since 19 Jul 2016)
  • [FCA CF] Client dealing (since 19 Jul 2016)
• Peter Nuttall

  IRN PXN87240

  • [FCA CF] Client dealing (8 Apr 2019 to 27 May 2023)
• Philip Alexander Holm Nys

  IRN PAN01068

  • [FCA CF] Client dealing (17 Sep 2018 to 30 Oct 2023)
  • [FCA CF] Material risk taker (17 Sep 2018 to 30 Oct 2023)
  • [PRA CF] Significant risk taker or Material risk taker (17 Sep 2018 to 30 Oct 2023)

No changes recorded yet.