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

  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.

• Authorised to Operate

  For Eligible Counterparty, Professional

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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

  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.

• 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

  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.

• 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.

• Stephen Clarke

  IRN SXC00091

  • [FCA CF] Material risk taker (since 8 Jan 2020)
  • [PRA CF] Significant risk taker or Material risk taker (since 8 Jan 2020)
• Stephen David Martus

  IRN SDM01088

  • CF29 Significant management (26 Jun 2015 to 6 Mar 2016)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (25 Oct 2004 to 31 Oct 2007)
• Stephen Derek Redding

  IRN SDR01071

  • CF30 Customer (1 Nov 2007 to 8 Mar 2010)
  • CF22 Investment Adviser (Trainee) (17 Jul 2007 to 31 Oct 2007)
• Stephen Jack

  IRN SXJ01180

  • SMF14 Senior Independent Director (10 Sep 2019 to 31 Mar 2023)
  • SMF11 Chair of the Audit Committee (7 Mar 2016 to 31 Mar 2023)
  • CF2 Non Executive Director (3 Aug 2015 to 6 Mar 2016)
• Stephen Jason Freear

  IRN SJF01113

  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (4 Jul 2006 to 31 Oct 2007)
• Stephen John Anderson

  IRN SXA00196

  • [FCA CF] Material risk taker (18 Jan 2021 to 28 Mar 2024)
  • [PRA CF] Significant risk taker or Material risk taker (18 Jan 2021 to 28 Mar 2024)
• Stephen John Bate

  IRN SJB01259

  • CF21 Investment Adviser (1 Dec 2001 to 15 Nov 2002)
• Stephen John William Harrington

  IRN SJH01238

  • CF30 Customer (1 Nov 2007 to 5 Nov 2015)
  • CF21 Investment Adviser (11 Sep 2006 to 31 Oct 2007)
• Stephen Newitt

  IRN SXN87446

  • [FCA CF] Manager of certification employee (28 May 2023 to 31 Mar 2025)
  • [FCA CF] Material risk taker (5 Feb 2020 to 31 Mar 2025)
  • [PRA CF] Significant risk taker or Material risk taker (5 Feb 2020 to 31 Mar 2025)
• Stephen Paul Lamberton

  IRN SPL01044

  • CF21 Investment Adviser (1 Dec 2001 to 18 Apr 2002)

No changes recorded yet.