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.

• Rie Butler

  IRN RXB01840

  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (18 Jul 2007 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (23 Feb 2007 to 18 Jul 2007)
• Riku Johannes Mattila

  IRN RJM01272

  • CF30 Customer (1 Jun 2010 to 6 Mar 2016)
• Rishabh Patel

  IRN RXP00694

  • [FCA CF] Client dealing (since 11 Feb 2025)
• Rita Yoko Hjoennevaag

  IRN RYH01001

  • CF21 Investment Adviser (1 Dec 2001 to 9 Aug 2002)
• Ritsuko Sakami

  IRN RXS01288

  • CF21 Investment Adviser (1 Dec 2001 to 29 May 2002)
• Rizwan Bin Ali

  IRN RBA01025

  • CF30 Customer (1 Nov 2007 to 14 Jan 2016)
  • CF22 Investment Adviser (Trainee) (29 May 2007 to 31 Oct 2007)
• Robert Anthony Walkinshaw Fraser

  IRN RAF01108

  • CF30 Customer (1 Nov 2007 to 7 Oct 2008)
  • CF21 Investment Adviser (29 Sep 2005 to 31 Oct 2007)
• Robert David Hammond

  IRN RDH01036

  • CF21 Investment Adviser (1 Dec 2001 to 7 Nov 2002)
  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 7 Nov 2002)
• Robert Francis Furlong

  IRN RFF01029

  • CF10a CASS Oversight function (6 Dec 2011 to 1 Jul 2012)
  • CF29 Significant management (4 Feb 2008 to 8 Oct 2008)
• Robert Hammond

  IRN RMH01188

  • [FCA CF] Client dealing (7 Mar 2016 to 15 Nov 2022)
  • CF30 Customer (27 Jul 2015 to 6 Mar 2016)

No changes recorded yet.