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.

• Thomas Glyn James

  IRN TGJ01007

  • CF21 Investment Adviser (8 Oct 2003 to 11 Aug 2004)
• Thomas Lovell

  IRN TXL00112

  • [PRA CF] Significant risk taker or Material risk taker (since 6 Apr 2021)
  • [FCA CF] Material risk taker (since 6 Apr 2021)
• Thomas M Heffernan

  IRN TXH01130

  • CF30 Customer (4 Mar 2015 to 20 Apr 2015)
  • CF29 Significant management (18 Oct 2010 to 7 Feb 2012)
  • CF28 Systems and controls (1 Nov 2007 to 1 Feb 2010)
  • CF11 Money Laundering Reporting (6 Jun 2002 to 1 Sep 2003)
  • CF10 Compliance Oversight (6 Jun 2002 to 1 Sep 2003)
  • CF14 Risk Assessment (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 1 Feb 2010)
• Thomas Shaw

  IRN TXS04082

  • [FCA CF] Client dealing (13 Dec 2024 to 25 Jul 2025)
• Tianyan Xu

  IRN TXX01002

  • CF30 Customer (9 Mar 2012 to 17 May 2013)
• Tihomir Georgiev Petkov

  IRN TGP01021

  • CF30 Customer (17 Feb 2012 to 28 Mar 2013)
• Timothy Hay Willis

  IRN THW01028

  • CF30 Customer (8 Feb 2008 to 11 Feb 2009)
• Timothy John Maurice Vaughan

  IRN TJV01007

  • CF28 Systems and controls (1 Nov 2007 to 15 Jan 2010)
  • CF15 Internal Audit (13 Jun 2006 to 31 Oct 2007)
  • CF14 Risk Assessment (13 Jun 2006 to 31 Oct 2007)
• Timothy John Pateman

  IRN TJP01056

  • CF30 Customer (11 Jan 2011 to 20 Feb 2014)
• Tom Vickers

  IRN TXV00104

  • [PRA CF] Significant risk taker or Material risk taker (since 6 Feb 2026)
  • [FCA CF] Material risk taker (since 6 Feb 2026)

No changes recorded yet.