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.

• Ryuichi Kudo

  IRN RXK87428

  • [FCA CF] Client dealing (23 Aug 2019 to 20 Oct 2021)
• Ryusuke Tanaka

  IRN RXT01397

  • CF30 Customer (31 Dec 2007 to 14 Sep 2009)
• Saajan Shah

  IRN SXS02661

  • CF30 Customer (7 Feb 2011 to 24 Nov 2014)
• Sachiko Fujii

  IRN SXF01367

  • CF30 Customer (1 Nov 2007 to 19 Sep 2008)
  • CF21 Investment Adviser (16 Feb 2007 to 31 Oct 2007)
• Saeko Hemmi

  IRN SXH01236

  • [PRA CF] Significant risk taker or Material risk taker (since 2 Oct 2024)
  • [FCA CF] Material risk taker (since 2 Oct 2024)
• Saifuddin Beejay

  IRN SXB01768

  • [FCA CF] Client dealing (since 12 Jan 2024)
• Samantha Jane Dawson

  IRN SJD01168

  • CF26 Customer Trading (4 Jan 2002 to 31 Jan 2002)
• Samit Mapara

  IRN SXM02275

  • [FCA CF] Significant management (since 6 Aug 2025)
  • [FCA CF] Manager of certification employee (since 28 May 2023)
  • [FCA CF] Material risk taker (since 5 Jul 2019)
  • [FCA CF] Client dealing (since 5 Jul 2019)
  • [PRA CF] Significant risk taker or Material risk taker (since 5 Jul 2019)
• Samuel Chen

  IRN SXC01328

  • CF21 Investment Adviser (1 Dec 2001 to 26 Oct 2004)
• Samuel George David Barclay

  IRN SXB79378

  • [FCA CF] Significant management (since 21 Jun 2023)
  • [FCA CF] Material risk taker (since 20 Oct 2021)
  • [PRA CF] Significant risk taker or Material risk taker (since 20 Oct 2021)
  • [FCA CF] Client dealing (since 20 Oct 2021)
  • [FCA CF] Manager of certification employee (since 20 Oct 2021)

No changes recorded yet.