NOMURA ASSET MANAGEMENT U.K. LIMITED

• Principal Place of Business

  1 Angel Lane

  London

  EC4R 3AB

  UNITED KINGDOM

  Phone

  +442075213333

  Web

  https://www.nomura-asset.co.uk

• Complaints Contact

  1 Angel Lane

  London

  City Of London

  EC4R 3AB

  UNITED KINGDOM

  Phone

  +442075212842

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, 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, Unit, Warrant

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  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Limited to advisory-only activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Authorised to Operate

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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, 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, Unit, Warrant

  Show 4 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to sub-underwriting on behalf of a customer and in carrying on such activities to the specified investment type "share", "debenture", "government and public security", "warrant", "certificate representing certain security", "unit" and "right to or interest in investments - security", (when the latter is associated with these specified investments).

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, 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, 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, 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, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, 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, 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, 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, Unit, Warrant

  Show 3 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Yuichi Murao

  IRN YXM01014

  • CF27 Investment Management (1 Dec 2001 to 18 Apr 2002)
• Yuichi Nomoto

  IRN YXN00019

  • Director of firm who is not a certification employee or a SMF manager (8 Feb 2023 to 21 Jun 2024)
• Yuichi Yoshida

  IRN YXY01028

  • CF27 Investment Management (2 Aug 2002 to 30 Jun 2004)
• Yuji Maeda

  IRN YXM01254

  • [FCA CF] Client dealing (9 Dec 2020 to 31 Mar 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2020 to 31 Mar 2023)
  • CF29 Significant management (17 Aug 2016 to 8 Dec 2019)
  • CF30 Customer (17 Aug 2016 to 8 Dec 2019)
• Yukako Mori

  IRN YXM01187

  • [FCA CF] Client dealing (since 9 Dec 2020)
  • CF30 Customer (21 Oct 2013 to 8 Dec 2019)
• Yuki Sakai

  IRN YXS01101

  • CF30 Customer (1 Nov 2007 to 30 Nov 2007)
  • CF27 Investment Management (18 Oct 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (8 Sep 2006 to 18 Oct 2006)
• Yukiharu Nemoto

  IRN YXN01008

  • CF27 Investment Management (1 Dec 2001 to 18 Apr 2002)
• Yuta Imazu

  IRN YXI01085

  • CF30 Customer (13 Oct 2015 to 9 Aug 2017)
• Yutaka Yasuma

  IRN YXY01034

  • CF30 Customer (1 Nov 2007 to 11 Aug 2008)
  • CF27 Investment Management (2 Sep 2005 to 31 Oct 2007)
• Zeyu Wu

  IRN ZXW00054

  • [FCA CF] Client dealing (since 1 Dec 2025)

• Philip Jowett (no longer appointed)

  FRN 626450 · Appointed 24 Jun 2014 · Until 6 Apr 2016

No changes recorded yet.