SBSE-A/A 0001597694 XXXXXXXX true false 446315 MUFG Securities EMEA plc 98-0209105 446315 0001597694 ROPEMAKER PLACE 25 ROPEMAKER STREET LONDON X0 EC2Y 9AJ (0)20 7628 5555 www.mufgemea.com Mr Douglas Gordon Tucker (0)20 7577 4227 douglas.tucker@mufgsecurities.com Mr Douglas Gordon Tucker (0)20 7577 4227 douglas.tucker@mufgsecurities.com MUFG Securities EMEA plc 446315 Y N N Y UK Prudential Regulation Authority MUSE intends to rely on substituted compliance only in connection with those security-based swap activities for which it satisfies the conditions to substituted compliance listed in the Order Granting Conditional Substituted Compliance in Connection with Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the United Kingdom (as amended) through policies, procedures or controls reasonably designed to satisfy such conditions. MUSE is currently reviewing its policies, procedures and controls to ensure they are reasonably designed to satisfy such conditions and will update such policies, procedures and controls as necessary. . Y Swap Dealer N 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. N N N Y Y MUFG Securities EMEA plc 446315 Y N Y Y N Y 15 N MUFG Securities EMEA plc 446315 Mr Douglas Gordon Tucker Chief Compliance Officer 09/2013 09/2013 N 468780 Mr Nobuho Nanjo Chief Executive Officer 04/2025 01/2023 N 570866 Mrs Eileen Joan Taylor Non-executive directo 04/2019 04/2019 N 526197 Mr Christopher Alan Marks Independent Non-Executive Director 04/2025 01/2025 N 486727 Mr Masatoshi Komoriya Group non-executive director 06/2025 06/2025 N 570272 008066085 Mrs Nicola Wickes Chief Risk Officer 11/2019 04/2019 N 543036 Mr Amer Chaudhry Chief Information Officer 05/2022 02/2010 N 552279 Mrs Angela Doreen Crawford-Ingle Independent Non-Executive Director 04/2023 04/2023 N 560389 Mr Tomoyuki Kamioka Group Non-Executive Director 06/2025 06/2025 N 572039 Mrs Beatrice Devillon-Cohen Independent Non-Executive Director 07/2021 07/2021 N 544460 Mr Hidefumi Yamamura Group Non-Executive Director 05/2024 05/2024 N 564802 Mr Alexandre Bruno Maurice Constantin Pierre Global Head of Structured Solutions 03/2025 07/2010 N 569414 Mr Philip Stephen Roberts Dep Regional Exec, Head of Global & Corporate Banking EMEA 11/2025 03/2011 N 574492 Mr Richard Smithyes EMEA Regional Head of Sales & Trading 11/2025 11/2007 N 574999 Ms Jennifer Margaret Anne Oswald Chief Financial Officer 01/2026 03/2025 N 576296 MUFG Securities EMEA plc 446315 INITIAL Derivatives market -making, stock borrow lend, margin lending, structured products Item 13A Deloitte LLP 1 New Street Square London X0 EC4A 3HQ 07-21-2014 Auditors to the swap dealer entity - engagements remain the same as per initial swap dealer entity registration application Item 14 MUFG Bank, Ltd. 4-5 Marunouchi 1-Chome Chiyoda-Ku Tokyo M0 100-8388 10-01-2025 MUFG Bank, Ltd. is the sole shareholder Item 15 MUFG Bank, Ltd. 4-5 Marunouchi 1-Chome Chiyoda-Ku Tokyo M0 100-8388 10-01-2025 We provide updated information in supporting documents in the Documents section of SBSE-A/A MUFG Securities EMEA plc 446315 Firm MUFG Securities Americas Inc 1221 Avenue of the Americas 6th Floor New York NY 10020 Douglas Gordon Tucker Douglas Gordon Tucker Chief Compliance Officer 03-16-2026 Prudential Regulatory Authority X0 Financial Conduct Authority X0 03-16-2026 MUFG Securities EMEA plc Douglas Tucker Douglas Gordon Tucker Chief Compliance Officer