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.

• Pushkar Gupta

  IRN PXG00268

  • [FCA CF] Client dealing (since 16 Feb 2023)
• Rachael Solway

  IRN RXS02639

  • CF30 Customer (2 Mar 2015 to 6 Mar 2016)
• Rahee Nayar

  IRN RXN01258

  • [FCA CF] Client dealing (since 7 Mar 2016)
  • CF30 Customer (15 Nov 2011 to 6 Mar 2016)
• Rahul Bhandari

  IRN RXB01834

  • CF30 Customer (30 Jan 2013 to 30 Sep 2015)
• Ramnik Ahuja

  IRN RXA01282

  • [PRA CF] Significant risk taker or Material risk taker (23 Oct 2018 to 31 Mar 2022)
  • [FCA CF] Client dealing (23 Oct 2018 to 31 Mar 2022)
  • [FCA CF] Material risk taker (23 Oct 2018 to 31 Mar 2022)
• Raouf Victor Jundi

  IRN RVJ01003

  • [PRA CF] Significant risk taker or Material risk taker (1 May 2018 to 9 Jul 2021)
  • [FCA CF] Material risk taker (1 May 2018 to 9 Jul 2021)
  • [FCA CF] Client dealing (3 Jul 2017 to 9 Jul 2021)
• Raphael Youssef Chalaby

  IRN RYC00003

  • [FCA CF] Client dealing (3 Nov 2017 to 2 Apr 2020)
  • CF30 Customer (9 Dec 2015 to 6 Mar 2016)
• Raymond Wai Ho

  IRN RXH01282

  • CF26 Customer Trading (13 Jun 2002 to 16 Sep 2005)
• Rene Bollendorff

  IRN RXB01306

  • CF21 Investment Adviser (6 Aug 2002 to 10 Jun 2003)
• Rhita Van Osch

  IRN RSS01074

  • [FCA CF] Client dealing (8 Sep 2021 to 25 Aug 2022)

No changes recorded yet.