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.

• Seiichiro Hirata

  IRN SXH01331

  • CF21 Investment Adviser (1 Dec 2001 to 15 Mar 2002)
• Seiji Toda

  IRN SXT01497

  • CF30 Customer (21 Apr 2008 to 19 Nov 2009)
  • CF21 Investment Adviser (29 Oct 2007 to 31 Oct 2007)
• Sergio Pagani

  IRN SXP01226

  • CF29 Significant management (6 Sep 2011 to 19 Mar 2012)
  • CF30 Customer (9 Jul 2010 to 19 Mar 2012)
• Serina Koizumi

  IRN SXK00728

  • [FCA CF] Client dealing (since 23 Nov 2023)
• Shabaz Rasool

  IRN SXR01234

  • CF30 Customer (1 Nov 2007 to 17 Sep 2008)
  • CF21 Investment Adviser (21 Mar 2006 to 31 Oct 2007)
  • CF26 Customer Trading (4 Jan 2006 to 21 Mar 2006)
• Shah Ishaan Elahi

  IRN SXE00362

  • [FCA CF] Client dealing (since 2 Dec 2025)
• Shahrear Haque

  IRN SAH01104

  • [FCA CF] Significant management (since 21 Jun 2023)
  • [FCA CF] Client dealing (since 6 Nov 2019)
  • [FCA CF] Manager of certification employee (since 6 Nov 2019)
  • [FCA CF] Material risk taker (since 6 Nov 2019)
  • [PRA CF] Significant risk taker or Material risk taker (since 6 Nov 2019)
• Shan Husain

  IRN SXH00309

  • [FCA CF] Client dealing (since 27 Jan 2021)
• Sharon Helena Crane

  IRN SHC01029

  • CF21 Investment Adviser (13 Oct 2003 to 20 Jun 2004)
• Shawn Andrew Wexler

  IRN SAW01107

  • CF30 Customer (27 Jun 2008 to 30 May 2010)
  • CF21 Investment Adviser (1 Dec 2001 to 30 Apr 2004)

No changes recorded yet.