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

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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.

• Toshiro Takino

  IRN TXT01080

  • CF29 Significant management (21 Oct 2008 to 14 Nov 2008)
  • CF30 Customer (1 Nov 2007 to 14 Nov 2008)
  • CF21 Investment Adviser (1 Oct 2005 to 31 Oct 2007)
• Toufic Salame

  IRN TXS01412

  • CF30 Customer (15 Jul 2010 to 29 Apr 2015)
• Trent Andrew Hagland

  IRN TXH01321

  • CF29 Significant management (18 May 2009 to 24 Jul 2012)
  • CF30 Customer (18 May 2009 to 24 Jul 2012)
• Tristan Noel Lagarrigue

  IRN TNL01003

  • CF30 Customer (2 Jan 2013 to 22 Aug 2013)
• Trusha Pillay

  IRN TXP87272

  • [PRA CF] Significant risk taker or Material risk taker (1 May 2018 to 2 May 2020)
  • [FCA CF] Material risk taker (1 May 2018 to 2 May 2020)
  • [FCA CF] Client dealing (3 Jul 2017 to 2 May 2020)
• Tsukasa Hasegawa

  IRN TXH01283

  • CF30 Customer (1 Nov 2007 to 28 May 2008)
  • CF21 Investment Adviser (27 Sep 2004 to 31 Oct 2007)
• Tsunenori Hanakura

  IRN TXH01144

  • CF21 Investment Adviser (1 Dec 2001 to 6 Jul 2006)
• Tsutomu Kishimoto

  IRN TXK01218

  • CF30 Customer (1 Nov 2007 to 15 Jan 2009)
  • CF21 Investment Adviser (15 May 2006 to 31 Oct 2007)
• Tsutomu Tanaka

  IRN TXT01190

  • CF2 Non Executive Director (22 Jul 2005 to 27 Jul 2012)
• Tsuyoshi Suzuki

  IRN TXS01148

  • CF21 Investment Adviser (1 Dec 2001 to 23 Sep 2004)

No changes recorded yet.