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.

• Satoshi Shinozaki

  IRN SXS02111

  • CF21 Investment Adviser (21 Sep 2006 to 26 Feb 2007)
• Satoshi Takami

  IRN SXT00854

  • [FCA CF] Client dealing (since 4 Nov 2025)
• Saurabh Seth

  IRN SXS01456

  • [PRA CF] Significant risk taker or Material risk taker (6 Oct 2016 to 10 Oct 2023)
  • [FCA CF] Material risk taker (6 Oct 2016 to 10 Oct 2023)
  • [FCA CF] Client dealing (6 Oct 2016 to 10 Oct 2023)
  • CF30 Customer (1 Nov 2007 to 22 Feb 2008)
  • CF21 Investment Adviser (1 Jun 2006 to 31 Oct 2007)
• Sayeed Ahmed

  IRN SIA01011

  • CF30 Customer (10 May 2011 to 6 Mar 2016)
• Scott Clement Fauver

  IRN SCF01055

  • CF29 Significant management (9 Apr 2009 to 12 Nov 2010)
  • CF30 Customer (9 Apr 2009 to 12 Nov 2010)
• Scott Nicholls

  IRN SHN01010

  • [FCA CF] Material risk taker (7 Mar 2016 to 19 Sep 2021)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 19 Sep 2021)
  • [FCA CF] Client dealing (7 Mar 2016 to 19 Sep 2021)
  • CF30 Customer (2 Aug 2010 to 6 Mar 2016)
• Scott Wai Keung Fong

  IRN SWF01014

  • [FCA CF] Client dealing (since 11 Mar 2022)
• Sean Moran

  IRN SXM02251

  • CF30 Customer (28 Jun 2011 to 14 Oct 2011)
• Sean O'Keeffe

  IRN SXO01060

  • [FCA CF] Client dealing (7 Mar 2016 to 25 May 2023)
  • [FCA CF] Material risk taker (7 Mar 2016 to 25 May 2023)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 25 May 2023)
  • CF30 Customer (6 Sep 2010 to 6 Mar 2016)
• Seiichi Takeda

  IRN SXT01351

  • CF1 Director (16 Aug 2004 to 13 Jun 2008)
  • CF3 Chief Executive (16 Aug 2004 to 13 Jun 2008)
  • CF8 Apportionment and Oversight (16 Aug 2004 to 31 Oct 2007)

No changes recorded yet.