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.

• Steven Edward Griffiths

  IRN SEG01074

  • CF30 Customer (1 Aug 2014 to 31 Mar 2015)
• Steven Hillyer

  IRN SXH87445

  • [FCA CF] Material risk taker (since 8 Jul 2019)
  • [PRA CF] Significant risk taker or Material risk taker (since 8 Jul 2019)
• Steven Max Pensa

  IRN SMP01186

  • CF30 Customer (9 Nov 2015 to 6 Mar 2016)
• Stewart Michael Whitehead

  IRN SMW01094

  • CF30 Customer (16 Oct 2012 to 5 May 2015)
• Stuart Earl

  IRN SXE87209

  • [PRA CF] Significant risk taker or Material risk taker (since 7 Mar 2016)
  • [FCA CF] Material risk taker (since 7 Mar 2016)
• Stuart J Wilson

  IRN SJW01205

  • CF30 Customer (24 Apr 2012 to 6 Mar 2016)
• Stuart Paul Taylor

  IRN SPT01052

  • [FCA CF] Manager of certification employee (since 28 May 2024)
  • [FCA CF] Client dealing (since 28 May 2024)
  • [FCA CF] Material risk taker (since 23 Dec 2020)
  • [PRA CF] Significant risk taker or Material risk taker (since 23 Dec 2020)
• Sullivan Calore

  IRN SXC48213

  • [PRA CF] Significant risk taker or Material risk taker (since 15 Oct 2024)
  • [FCA CF] Material risk taker (since 15 Oct 2024)
  • [FCA CF] Manager of certification employee (since 5 Dec 2023)
  • [FCA CF] Client dealing (since 30 Apr 2020)
  • [FCA CF] Material risk taker (3 Feb 2023 to 1 Apr 2023)
  • [PRA CF] Significant risk taker or Material risk taker (3 Feb 2023 to 1 Apr 2023)
• Syed Fazli

  IRN SXF87216

  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 30 Dec 2022)
  • [FCA CF] Material risk taker (7 Mar 2016 to 30 Dec 2022)
• Szabolcs Gordos

  IRN SXG01184

  • CF23 Corporate Finance Adviser (1 Dec 2001 to 23 Aug 2004)

No changes recorded yet.