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Company Overview

Status of registration:

Active

Business activities:

Arranging Deals in Investments

Arranging Credit and Advising on Credit

Advising on Financial Products

Registered Number:

1656

Registered offices:

Unit Office 3 , Level 0003, Gate Building, Dubai International Financial Centre, Dubai, 506894, United Arab Emirates

Company Information

Name:

MUFG Securities EMEA plc

Trading Name:

MUFG Securities (DIFC Branch)

Status of Registration:

Active

Type of License:

Regulated

DFSA License:

Yes

Legal Structure:

Recognised Company

Date of Registration :

24 Aug 2014

Commercial License Validity Date:

23 Aug 2021

Directors:

Makoto Kobayashi

JOHN WINTER

EILEEN TAYLOR

CHRISTOPHER KYLE

Marshall Bailey

Nicola Wickes

Masamichi Yasuda

STEPHEN JACK

TAKANORI SAZAKI

GORDON JAMES SANGSTER

Company Secretary:

Leonie Brown

DNFBP: DIFC Designated Non-Financial Businesses and Professions

No

Financial Year End:

31st December

Data Protection

Data Protection Officer Appointed:

Yes

Data Protection Officer:

Sheetal Ram, United Arab Emirates

Notifications:

Personal Data Processing Operations:

Yes

Transfer of Personal Data from the DIFC:

Yes

Processing of Special Categories of Personal Data:

Yes

Purpose for the Personal Data Processing:

Accounting & Auditing, Consultancy & Advisory Services, Credit Referencing, Education, Provision of Financial Services, Staff Administration, Compliance with regulatory requirements, AML Checks and Sanctions clearance obligations and to comply with laws and regulations and to ensure security of systems

Data Subjects or class of Data Subjects whose Personal Data is being processed:

Staff (Agents, Workers), Clients & Customer, Suppliers, Relatives and Associates, Advisors, Consultants, Prof. Experts, prospective employees, former employees, former vendor representatives

Description of the Class of Personal Data being Processed:

personal details, family details, social circumstances, employment details, financial details, education history, professional qualifications, background screening which shall include criminal checks, medical records, travel administration, regulatory compliance with AML and sanctions checks, KYC checks, images, right to work, performance and conduct, professional information and audio recording.

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List of Jurisdictions to which Personal Data may be transferred:

Canada, France, Ireland, Netherlands, United Kingdom, Japan, India, United Arab Emirates, Singapore, United States, Hong Kong


Former Properties

Trade Name:

Mitsubishi UFJ Securities International plc (Dubai Branch) until 10 July 2016

Name:

Mitsubishi UFJ Securities International plc until 10 July 2016

Directors:

Masahiro Kuwahara until 26 May 2019

ARTHUR MICHAEL ROYAL AYNSLEY until 03 January 2017

TAKAMI ONODERA until 08 August 2017

MALCOLM AISH until 12 September 2014

SHOJI NAKANO until 03 October 2014

MASATO MIYACHI until 19 June 2016

AKIRA KAMIYA until 20 November 2014

DIANE ELIZABETH MOORE until 04 July 2019

DAVID KING until 03 April 2019

NOBUYUKI UCHIDA until 08 October 2016

ARTHUR MAYCOCK until 03 June 2018

AKIHIRO SUGIMURA until 16 August 2018

CATHERINE BRETT until 28 July 2019

YASUTAKA SUEHIRO until 05 July 2020

WILLIAM FALL until 03 October 2020

Company Secretary:

RICHARD HOUSE until 23 June 2019

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