# EDGAR Filing Document

**Accession Number:** 0001597694
**File Stem:** 0001597694-25-000057
**Filing Date:** 2025-12
**Character Count:** 6368
**Document Hash:** efbde2d50f27e770ed313a8369a19387
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001597694-25-000057.hdr.sgml**: 20251231

**ACCESSION NUMBER**: 0001597694-25-000057

**CONFORMED SUBMISSION TYPE**: SBSE-A/A

**PUBLIC DOCUMENT COUNT**: 4

**FILED AS OF DATE**: 20251219

**DATE AS OF CHANGE**: 20251231

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** MUFG Securities EMEA plc
- **CENTRAL INDEX KEY:** 0001597694

**ORGANIZATION NAME:**
- **EIN:** 980209105

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00160
- **FILM NUMBER:** 251616039

**BUSINESS ADDRESS:**
- **STREET 1:** ROPEMAKER PLACE
- **STREET 2:** 25 ROPEMAKER STREET
- **CITY:** LONDON
- **STATE:** X0
- **ZIP:** EC2Y 9AJ
- **BUSINESS PHONE:** (0)20 7628 5555

**MAIL ADDRESS:**
- **STREET 1:** ROPEMAKER PLACE
- **STREET 2:** 25 ROPEMAKER STREET
- **CITY:** LONDON
- **STATE:** X0
- **ZIP:** EC2Y 9AJ

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Mitsubishi UFJ Securities International PLC
- **DATE OF NAME CHANGE:** 20140121

### Attached PDF Documents

**Attachment 1:** `MUFGLegalOpinionSBSD.pdf`

_No text found in this document._

**Attachment 2:** `CFTC_7R_MUSE1.pdf`

_No text found in this document._

**Attachment 3:** `AdditionalInformation122025.pdf`

_No text found in this document._

## Form SBSE-A: Registration for Security-Based Swap Dealers

### Applicant Information

**Full Applicant Name:** MUFG Securities EMEA plc

**NFA Number:** 446315

**IRS Employer ID No.:** 98-0209105

**CIK:** 0001597694

**Main Address:** ROPEMAKER PLACE, 25 ROPEMAKER STREET, LONDON, X0, EC2Y 9AJ

**Business Telephone:** (0)20 7628 5555

**Contact Employee:**

- **Name:** Douglas Gordon Tucker

- **Title:** Chief Compliance Officer

- **Phone:** (0)20 7577 4227

- **Email:** douglas.tucker@mufgsecurities.com

**Chief Compliance Officer:**

- **Name:** Douglas Gordon Tucker

- **Title:** Chief Compliance Officer

- **Phone:** (0)20 7577 4227

- **Email:** douglas.tucker@mufgsecurities.com

### Business and Activities

**Registered as Swap Dealer?:** Yes

**Registered as Swap Participant?:** No

**Uses Mathematical Models?:** Yes

**Is a Non-Resident Entity?:** No

**Subject to Prudential Regulator?:** No

**Is an Investment Advisor?:** No

**Engaged in Other Business?:** Yes

**Holds Customer Funds?:** Yes

**Description of Business:**
The firm is involved in international capital markets, trading in fixed income, equity derivatives and structured products, providing client solutions across primary and secondary markets. The client group include financial institutions, corporations and central banks.

### Control and History

**Are records kept by another entity?:** Yes

**Does another entity hold funds on behalf of applicant?:** No

**Is control exercised through an agreement?:** Yes

**Is applicant financed by another entity?:** Yes

**Is applicant succeeding a prior entity?:** No

**Subject to foreign regulation?:** Yes

**Number of Principals:** 14

### Schedule A: Principals

| Name                                      | Title or Status                                            | Date Acquired   | Date Began Working   | Ownership   |   NFA ID No. |
|:---|:---|:---|:---|:---|---:|
| Douglas Gordon Tucker                     | Chief Compliance Officer                                   | 09/2013         | 09/2013              |  |       468780 |
| Nobuho Nanjo                              | Chief Executive Officer                                    | 04/2025         | 01/2023              |  |       570866 |
| Eileen Joan Taylor                        | Non-executive directo                                      | 04/2019         | 04/2019              |  |       526197 |
| Christopher Alan Marks                    | Independent Non-Executive Director                         | 04/2025         | 01/2025              |  |       486727 |
| Masatoshi Komoriya                        | Group non-executive director                               | 06/2025         | 06/2025              |  |       570272 |
| Nicola Wickes                             | Chief Risk Officer                                         | 11/2019         | 04/2019              |  |       543036 |
| Amer Chaudhry                             | Chief Information Officer                                  | 05/2022         | 02/2010              |  |       552279 |
| Angela Doreen Crawford-Ingle              | Independent Non-Executive Director                         | 04/2023         | 04/2023              |  |       560389 |
| Tomoyuki Kamioka                          | Group Non-Executive Director                               | 06/2025         | 06/2025              |  |       572039 |
| Beatrice Devillon-Cohen                   | Independent Non-Executive Director                         | 07/2021         | 07/2021              |  |       544460 |
| Hidefumi Yamamura                         | Group Non-Executive Director                               | 05/2024         | 05/2024              |  |       564802 |
| Alexandre Bruno Maurice Constantin Pierre | Global Head of Structured Solutions                        | 03/2025         | 07/2010              |  |       569414 |
| Philip Stephen Roberts                    | Dep Regional Exec, Head of Global & Corporate Banking EMEA | 11/2025         | 03/2011              |  |       574492 |
| Richard Smithyes                          | EMEA Regional Head of Sales & Trading                      | 11/2025         | 11/2007              |  |       574999 |

### Schedule B: Explanations

**Description:**
Derivatives market -making, stock borrow lend, margin lending, structured products

**Records Keeper:**

- **Name:** Deloitte LLP

  - **Address:** 1 New Street Square, London, X0, EC4A 3HQ

  - **Effective Date:** 07-21-2014

  - **Arrangement:** Auditors to the swap dealer entity - engagements remain the same as per initial swap dealer entity registration application

**Controlling Entity:**

- **Name:** MUFG Bank, Ltd.

  - **Address:** 4-5 Marunouchi, 1-Chome Chiyoda-Ku, Tokyo, M0, 100-8388

  - **Effective Date:** 10-01-2025

  - **Arrangement:** MUFG Bank, Ltd. is the sole shareholder

### Execution

**Date:** 12-19-2025

**Name of Applicant:** MUFG Securities EMEA plc

**Signature:** Douglas Tucker

**Printed Name:** Douglas Gordon Tucker

**Title:** Chief Compliance Officer