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.

• Rory Seamus Mark Byrne

  IRN RSB01065

  • CF30 Customer (1 Nov 2007 to 2 Oct 2008)
  • CF21 Investment Adviser (12 Jul 2007 to 31 Oct 2007)
• Rose Lewis

  IRN RXL00334

  • [FCA CF] Client dealing (since 10 Mar 2023)
• Rowan Alston

  IRN RGA01038

  • [FCA CF] Manager of certification employee (28 May 2023 to 12 Jan 2024)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 12 Jan 2024)
  • [FCA CF] Material risk taker (7 Mar 2016 to 12 Jan 2024)
  • [FCA CF] Client dealing (7 Mar 2016 to 12 Jan 2024)
  • CF30 Customer (7 Oct 2013 to 6 Mar 2016)
• Roy Gilmore Young

  IRN RGY01002

  • CF30 Customer (1 Nov 2007 to 27 Feb 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Rupert Stone

  IRN RXS02184

  • [FCA CF] Client dealing (7 Mar 2016 to 24 Nov 2023)
  • CF30 Customer (21 Jan 2011 to 6 Mar 2016)
• Ruth Ferris

  IRN RXF01180

  • [FCA CF] Material risk taker (since 15 May 2025)
  • [PRA CF] Significant risk taker or Material risk taker (since 15 May 2025)
  • [FCA CF] Client dealing (since 7 Mar 2016)
  • CF30 Customer (12 Jun 2012 to 6 Mar 2016)
• Ryo Fujita

  IRN RXF01324

  • CF30 Customer (21 Sep 2009 to 22 Mar 2013)
• Ryoichi Akimoto

  IRN RXA01265

  • CF30 Customer (30 Apr 2012 to 6 Mar 2016)
  • CF21 Investment Adviser (21 Apr 2005 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (16 May 2003 to 21 Apr 2005)
• Ryosei Hayashi

  IRN RXH01271

  • CF30 Customer (1 Nov 2007 to 28 Jul 2015)
  • CF21 Investment Adviser (21 Jan 2005 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (15 Jun 2004 to 21 Jan 2005)
• Ryosuke Seo

  IRN RXS01339

  • CF21 Investment Adviser (21 Apr 2004 to 23 Jul 2004)
  • CF22 Investment Adviser (Trainee) (9 Feb 2004 to 21 Apr 2004)

No changes recorded yet.