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.

• Shunichi Mizushima

  IRN SXM04821

  • [PRA CF] Significant risk taker or Material risk taker (since 2 Oct 2025)
  • [FCA CF] Material risk taker (since 2 Oct 2025)
• Simon David Driver

  IRN SDD01022

  • CF30 Customer (1 Nov 2007 to 7 Dec 2007)
  • CF21 Investment Adviser (22 Jan 2007 to 31 Oct 2007)
• Simon Murray Pickworth

  IRN SMP01090

  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 26 May 2023)
  • [FCA CF] Material risk taker (7 Mar 2016 to 26 May 2023)
  • [FCA CF] Client dealing (7 Mar 2016 to 26 May 2023)
  • CF30 Customer (20 Aug 2010 to 6 Mar 2016)
• Simon Orchard

  IRN SJO01084

  • [PRA CF] Significant risk taker or Material risk taker (1 May 2018 to 1 Apr 2022)
  • [FCA CF] Material risk taker (1 May 2018 to 1 Apr 2022)
  • [FCA CF] Client dealing (3 Jul 2017 to 30 Jun 2023)
• Simon Overall

  IRN SAO01029

  • [FCA CF] Material risk taker (3 Feb 2023 to 3 May 2023)
  • [PRA CF] Significant risk taker or Material risk taker (3 Feb 2023 to 3 May 2023)
  • [FCA CF] Client dealing (12 Mar 2020 to 3 May 2023)
• Simon Steffen

  IRN SXS01644

  • [FCA CF] Manager of certification employee (since 17 Jan 2025)
  • [PRA CF] Significant risk taker or Material risk taker (since 3 Oct 2024)
  • [FCA CF] Material risk taker (since 3 Oct 2024)
  • [FCA CF] Client dealing (since 3 Oct 2024)
• Simona Hanuskova

  IRN SXH30112

  • [FCA CF] Client dealing (since 11 Nov 2021)
• Siyao Liang

  IRN SXL00739

  • [FCA CF] Client dealing (since 6 Jun 2024)
• Sofia Hristova Kolebinova

  IRN SHK01023

  • CF30 Customer (29 Nov 2010 to 24 Feb 2014)
• Sohail Khan

  IRN SXK00701

  • [FCA CF] Material risk taker (since 5 Oct 2023)
  • [PRA CF] Significant risk taker or Material risk taker (since 5 Oct 2023)

No changes recorded yet.