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.

• Dougal Kai Tomas Brech

  IRN DKB01039

  • [FCA CF] Significant management (8 Apr 2021 to 7 Apr 2022)
• Dougal Wise

  IRN DGW01072

  • [FCA CF] Material risk taker (11 Nov 2019 to 6 Jul 2024)
  • [FCA CF] Manager of certification employee (20 Jun 2019 to 6 Jul 2024)
  • [FCA CF] Client dealing (7 Dec 2018 to 6 Jul 2024)
• Douglas Lyons

  IRN DSL01025

  • [FCA CF] Material risk taker (17 Feb 2021 to 31 Dec 2021)
  • SMF4 Chief Risk (15 Jun 2020 to 25 Jan 2021)
  • [FCA CF] Manager of certification employee (11 Dec 2019 to 14 Jun 2020)
  • CF28 Systems and controls (20 Dec 2011 to 6 Mar 2016)
• Duncan Campbell Webster

  IRN DCW01102

  • [FCA CF] Manager of certification employee (since 4 Feb 2022)
  • [FCA CF] Client dealing (since 16 May 2018)
  • [FCA CF] Material risk taker (11 Nov 2019 to 6 Jul 2023)
• Dylan Fee

  IRN DXF00141

  • [FCA CF] Significant management (2 Apr 2021 to 16 Aug 2023)
• Dylan Jonathan Smith

  IRN DJS01242

  • CF30 Customer (1 Nov 2007 to 17 Oct 2008)
  • CF21 Investment Adviser (6 Feb 2007 to 31 Oct 2007)
• Eamonn Gashier

  IRN EXG01178

  • [FCA CF] Material risk taker (31 Jan 2020 to 6 Jul 2020)
  • [FCA CF] Client dealing (27 Sep 2019 to 27 Nov 2020)
• Eduardo Moojen Epperlein

  IRN EXE47913

  • [FCA CF] Material risk taker (8 Nov 2022 to 12 Sep 2025)
  • [FCA CF] Significant management (2 Apr 2021 to 12 Sep 2025)
• Edvinas Zukauskas

  IRN EXZ00027

  • [FCA CF] Client dealing (since 14 Feb 2025)
• Edward Alexander Grundy

  IRN EAG01016

  • [FCA CF] Client dealing (19 May 2017 to 28 Jun 2019)
  • [FCA CF] Manager of certification employee (19 May 2017 to 28 Jun 2019)
  • [FCA CF] Material risk taker (19 May 2017 to 28 Jun 2019)

No changes recorded yet.