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.

• William Higbee

  IRN WNH01009

  • [PRA CF] Significant risk taker or Material risk taker (since 7 Oct 2025)
  • [FCA CF] Material risk taker (since 7 Oct 2025)
  • [FCA CF] Manager of certification employee (since 7 Oct 2025)
  • [FCA CF] Client dealing (since 7 Oct 2025)
• William James Patrick Forsythe

  IRN WJF01042

  • [FCA CF] Manager of certification employee (since 17 Jan 2025)
  • [FCA CF] Material risk taker (since 11 Dec 2018)
  • [FCA CF] Client dealing (since 11 Dec 2018)
  • [PRA CF] Significant risk taker or Material risk taker (since 11 Dec 2018)
  • CF30 Customer (7 Mar 2012 to 10 Jul 2013)
• William Moray Newton Fall

  IRN WMF01006

  • SMF13 Chair of the Nominations Committee (10 Oct 2019 to 30 Sep 2020)
  • SMF9 Chair of the Governing Body (7 Mar 2016 to 30 Sep 2020)
  • CF2 Non Executive Director (30 Jan 2015 to 6 Mar 2016)
• William Perera

  IRN WMP01019

  • [FCA CF] Client dealing (since 21 Feb 2025)
  • [FCA CF] Client dealing (18 Nov 2019 to 31 Aug 2021)
• William Robert Templeton

  IRN WXT00111

  • [FCA CF] Client dealing (since 3 Oct 2025)
• Xu Wang

  IRN XXW01034

  • CF30 Customer (22 Apr 2008 to 27 Feb 2009)
• YANN Neto

  IRN YXN01033

  • CF30 Customer (1 Nov 2007 to 2 Oct 2008)
  • CF21 Investment Adviser (26 Aug 2004 to 31 Oct 2007)
• Yann Elian Khoury

  IRN YEK01001

  • [FCA CF] Client dealing (28 Jan 2022 to 22 Nov 2024)
  • [FCA CF] Manager of certification employee (28 Jan 2022 to 22 Nov 2024)
  • [PRA CF] Significant risk taker or Material risk taker (28 Jan 2022 to 22 Nov 2024)
  • [FCA CF] Material risk taker (28 Jan 2022 to 22 Nov 2024)
• Yannick Claude Bernard Lucas

  IRN YCL01001

  • CF21 Investment Adviser (1 Dec 2001 to 2 Apr 2002)
• Yao Zhou

  IRN YXZ01028

  • [PRA CF] Significant risk taker or Material risk taker (since 28 Nov 2024)
  • [FCA CF] Client dealing (since 28 Nov 2024)
  • [FCA CF] Material risk taker (since 28 Nov 2024)

No changes recorded yet.