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.

• Riccardo Anacar

  IRN RXA01454

  • CF30 Customer (11 Jun 2008 to 12 Jun 2009)
• Richard Daniell

  IRN RCD01067

  • [FCA CF] Client dealing (14 Aug 2017 to 9 Aug 2022)
• Richard Edward Davies

  IRN RED01021

  • CF1 Director (26 Jan 2010 to 25 Feb 2013)
  • CF28 Systems and controls (26 Jan 2010 to 25 Feb 2013)
• Richard Francis III Corbisiero

  IRN RFC01034

  • CF21 Investment Adviser (5 Apr 2006 to 3 Apr 2007)
• Richard George Derek Hinchliffe

  IRN RGH01053

  • CF21 Investment Adviser (1 Sep 2005 to 19 May 2006)
• Richard Jean-Louis Gilbert Brague

  IRN RJB01401

  • CF30 Customer (27 Jul 2010 to 21 Nov 2011)
• Richard Michael House

  IRN RMH01069

  • CF30 Customer (1 Nov 2007 to 20 Nov 2015)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Richard Pontin

  IRN RXP01176

  • CF28 Systems and controls (11 Oct 2013 to 15 Aug 2014)
  • CF30 Customer (1 Nov 2007 to 23 Sep 2013)
  • CF10 Compliance Oversight (1 Sep 2003 to 23 Sep 2013)
  • CF11 Money Laundering Reporting (28 Aug 2003 to 1 Apr 2015)
  • CF21 Investment Adviser (22 Jul 2002 to 31 Oct 2007)
• Richard Smithyes

  IRN RXS02043

  • SMF6 Head of Key Business Areas (since 13 Nov 2025)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 27 May 2023)
  • [FCA CF] Client dealing (7 Mar 2016 to 27 May 2023)
  • [FCA CF] Manager of certification employee (7 Mar 2016 to 27 May 2023)
  • [FCA CF] Material risk taker (7 Mar 2016 to 27 May 2023)
• Richard Thomas Saunders

  IRN RTS01026

  • CF21 Investment Adviser (1 Dec 2001 to 9 Mar 2005)

No changes recorded yet.