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.

• Yoshiaki Sasamura

  IRN YXS00046

  • [FCA CF] Manager of certification employee (28 May 2023 to 15 Sep 2025)
  • [FCA CF] Material risk taker (11 Jun 2021 to 15 Sep 2025)
  • [FCA CF] Client dealing (11 Jun 2021 to 15 Sep 2025)
  • [PRA CF] Significant risk taker or Material risk taker (11 Jun 2021 to 15 Sep 2025)
• Yoshiaki Senda

  IRN YXS87436

  • [FCA CF] Client dealing (26 Jan 2020 to 11 Nov 2022)
• Yoshikazu Suzuki

  IRN YXS00042

  • [FCA CF] Material risk taker (15 Oct 2024 to 31 Mar 2025)
  • [PRA CF] Significant risk taker or Material risk taker (15 Oct 2024 to 31 Mar 2025)
  • [FCA CF] Manager of certification employee (28 May 2023 to 8 Jan 2026)
  • [FCA CF] Client dealing (12 May 2021 to 8 Jan 2026)
• Yoshikazu Suzuki

  IRN YXS01083

  • CF30 Customer (27 Sep 2010 to 10 Oct 2014)
• Yoshinobu Onishi

  IRN YXO01037

  • CF2 Non Executive Director (13 Jan 2006 to 15 Jun 2007)
• Yoshinori Hashimoto

  IRN YXH01023

  • CF21 Investment Adviser (1 Dec 2001 to 25 Jun 2004)
• Yoshinori Kasuga

  IRN YXK01102

  • CF30 Customer (1 Nov 2007 to 3 May 2012)
  • CF21 Investment Adviser (22 Jan 2007 to 31 Oct 2007)
• Youssef El Otmani

  IRN YXE00018

  • [FCA CF] Material risk taker (since 11 Mar 2025)
  • [PRA CF] Significant risk taker or Material risk taker (since 11 Mar 2025)
• Yuetian Lu

  IRN YXL01036

  • CF30 Customer (1 Nov 2007 to 27 Feb 2009)
  • CF22 Investment Adviser (Trainee) (27 Feb 2007 to 31 Oct 2007)
• Yuhei Suzuki

  IRN YXS87432

  • [PRA CF] Significant risk taker or Material risk taker (13 Oct 2022 to 14 Oct 2022)
  • [FCA CF] Material risk taker (13 Oct 2022 to 14 Oct 2022)
  • [FCA CF] Client dealing (6 Jul 2019 to 29 Jun 2024)

No changes recorded yet.