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

  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".
  • · 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

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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

  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.

• 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.

• Francis Gerald Wyatt Paxton

  IRN FGP01005

  • CF30 Customer (9 Jun 2014 to 8 Dec 2019)
• Fraser Rafe Hedgley

  IRN FRH01008

  • [FCA CF] Client dealing (9 Dec 2020 to 5 Sep 2025)
  • CF30 Customer (30 Dec 2008 to 8 Dec 2019)
• Fumiki Kondo

  IRN FXK01095

  • CF2 Non Executive Director (3 Jun 2014 to 1 Apr 2016)
• Gay Gary Lim

  IRN GGL01004

  • CF27 Investment Management (1 Dec 2001 to 18 Apr 2002)
• Go Hiramatsu

  IRN GXH01215

  • Director of firm who is not a certification employee or a SMF manager (9 Jan 2024 to 2 Apr 2024)
  • SMF1 Chief Executive (9 Dec 2019 to 25 Jul 2023)
  • SMF3 Executive Director (9 Dec 2019 to 9 Jan 2024)
  • CF1 Director (12 Oct 2018 to 8 Dec 2019)
  • CF3 Chief Executive (12 Oct 2018 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 24 Mar 2004)
• Hidetatsu Oh

  IRN HXO08299

  • [FCA CF] Client dealing (9 Dec 2020 to 12 Oct 2021)
  • CF30 Customer (15 Nov 2018 to 8 Dec 2019)
• Hideyuki Aoki

  IRN HXA01338

  • CF29 Significant management (12 Apr 2012 to 1 Dec 2014)
  • CF30 Customer (12 Apr 2012 to 1 Dec 2014)
• Hirokazu Tanaka

  IRN HXT01028

  • CF27 Investment Management (1 Dec 2001 to 2 May 2003)
  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 2 May 2003)
• Hiroshi Matsumoto

  IRN HXM01788

  • CF30 Customer (6 Oct 2017 to 8 Dec 2019)
• Hiroshi Teraski

  IRN HXT01100

  • CF8 Apportionment and Oversight (10 Apr 2003 to 9 Aug 2005)
  • CF1 Director (10 Apr 2003 to 9 Aug 2005)
  • CF3 Chief Executive (10 Apr 2003 to 9 Aug 2005)

• Philip Jowett (no longer appointed)

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

No changes recorded yet.