Nomura Bank International Plc.

• Principal Place of Business

  1 Angel Lane

  London

  EC4R 3AB

  UNITED KINGDOM

  Phone

  +4402071021000

  Web

  https://www.nomura.com

• Complaints Contact

  1 Angel Lane

  London

  EC4R 3AB

  UNITED KINGDOM

  Phone

  +442071021000

• Bank Deposits

  For Eligible Counterparty, Professional, Deposit

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Alternative Debenture, 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, Structured Deposits, 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.

• 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, Alternative Debenture, 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, Structured Deposits, 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.

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Warrant

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

• Stockbroking

  For Eligible Counterparty, Professional, Alternative Debenture, 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, Structured Deposits, 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Alternative Debenture, 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, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Alternative Debenture, 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, Spread Bet, Structured Deposits, 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.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Warrant

  Show 1 limitation Hide limitations

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

• Daisuke Yamamoto

  IRN DXY01078

  • [FCA CF] Material risk taker (31 Jan 2020 to 9 Oct 2022)
  • [FCA CF] Client dealing (12 Jan 2018 to 27 Jul 2023)
• Daisy Alice Le Vay

  IRN DXL47895

  • [FCA CF] Material risk taker (since 9 Nov 2022)
  • [FCA CF] Manager of certification employee (since 9 Nov 2022)
  • [FCA CF] Significant management (since 24 Mar 2021)
• Dale Sewell

  IRN DES33733

  • [FCA CF] Client dealing (26 Sep 2019 to 23 Jun 2022)
• Daniel Aidan Muldoon

  IRN DAM01214

  • [FCA CF] Manager of certification employee (since 3 Apr 2024)
  • [FCA CF] Material risk taker (since 22 Feb 2024)
  • [FCA CF] Client dealing (since 7 Feb 2024)
• Daniel Cohen

  IRN DIC01006

  • [FCA CF] Manager of certification employee (5 Mar 2019 to 20 May 2019)
• Daniel Heath

  IRN DXH00986

  • [FCA CF] Client dealing (since 26 Jan 2026)
• Daniel Kinnear

  IRN DXK01151

  • [FCA CF] Client dealing (2 Nov 2016 to 2 Dec 2019)
  • [FCA CF] Material risk taker (2 Nov 2016 to 2 Dec 2019)
  • [FCA CF] Manager of certification employee (2 Nov 2016 to 6 Jul 2019)
• Daniel Peter Scott

  IRN DXS47915

  • SMF18 Other Overall Responsibility (since 23 Aug 2024)
  • [FCA CF] Manager of certification employee (21 Apr 2023 to 23 Aug 2024)
  • [FCA CF] Significant management (29 Mar 2023 to 23 Aug 2024)
  • [FCA CF] Material risk taker (27 Feb 2023 to 23 Aug 2024)
• Daniel Steven Bromee

  IRN DXB00069

  • [FCA CF] Client dealing (19 Oct 2020 to 14 Oct 2024)
• Daniel Thomas Blackmore

  IRN DTB01076

  • [FCA CF] Client dealing (7 May 2019 to 19 Nov 2021)

No changes recorded yet.