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.

• Daniele Rosino

  IRN DXR01501

  • [FCA CF] Material risk taker (since 26 Oct 2023)
  • [FCA CF] Client dealing (since 18 May 2018)
  • [FCA CF] Material risk taker (13 Nov 2019 to 27 Oct 2022)
• Darren Burnett

  IRN DXB02742

  • SMF24 Chief Operations (6 Sep 2018 to 5 Mar 2020)
  • SMF18 Other Overall Responsibility (3 Mar 2017 to 6 Sep 2018)
• Darren Dempsey

  IRN DXD01422

  • CF30 Customer (12 Jul 2012 to 1 Oct 2014)
• Darren Weston

  IRN DXW01592

  • [FCA CF] Material risk taker (15 Nov 2016 to 30 Nov 2023)
  • [FCA CF] Client dealing (15 Nov 2016 to 30 Nov 2023)
  • CF30 Customer (27 Jul 2010 to 6 Mar 2016)
• David Adkins

  IRN DAA01104

  • [FCA CF] Material risk taker (26 Nov 2019 to 12 Sep 2023)
  • [FCA CF] Manager of certification employee (10 Apr 2018 to 12 Sep 2023)
  • [FCA CF] Client dealing (10 Apr 2018 to 12 Sep 2023)
• David Alexander Hague

  IRN DAH01172

  • [FCA CF] Client dealing (1 Nov 2016 to 3 Apr 2019)
• David Bui

  IRN DXB01116

  • [FCA CF] Client dealing (19 Mar 2025 to 2 May 2025)
• David Dunk

  IRN DXD33741

  • [FCA CF] Client dealing (4 Dec 2018 to 5 Feb 2025)
• David Galletly

  IRN DXG01439

  • [FCA CF] Manager of certification employee (4 Nov 2016 to 6 Jul 2019)
  • [FCA CF] Material risk taker (4 Nov 2016 to 23 May 2023)
  • [FCA CF] Client dealing (4 Nov 2016 to 23 May 2023)
  • CF30 Customer (30 Oct 2014 to 6 Mar 2016)
• David Geoffrey Harper

  IRN DGH01064

  • CF1 Director (19 Aug 2011 to 31 Oct 2012)

No changes recorded yet.