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

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

• Hemish Shah

  IRN HXS01439

  • [FCA CF] Material risk taker (since 20 Mar 2024)
  • [FCA CF] Significant management (since 20 Mar 2024)
  • [FCA CF] Client dealing (since 11 Mar 2024)
  • [FCA CF] Manager of certification employee (since 11 Mar 2024)
• Henry Noel Toland

  IRN HXT00200

  • [FCA CF] Significant management (since 17 Dec 2024)
• Henry William Hackett Mitchell

  IRN HXM47691

  • [FCA CF] Material risk taker (since 18 Oct 2023)
  • [FCA CF] Client dealing (since 3 Jan 2023)
• Heung Wing Pang

  IRN HWP01002

  • CF30 Customer (1 Nov 2007 to 17 Oct 2008)
  • CF21 Investment Adviser (13 Feb 2006 to 31 Oct 2007)
• Hideyuki Narahashi

  IRN HXN00074

  • [FCA CF] Manager of certification employee (4 Aug 2023 to 30 Jun 2025)
  • [FCA CF] Material risk taker (18 Apr 2023 to 30 Jun 2025)
  • [FCA CF] Significant management (9 Nov 2022 to 30 Jun 2025)
• Hilary Claire Eleanor Lewis

  IRN HXL00220

  • [FCA CF] Significant management (28 Jan 2025 to 29 Aug 2025)
• Himanshu Shrimali

  IRN HXS01623

  • [FCA CF] Manager of certification employee (since 15 Dec 2023)
  • [FCA CF] Client dealing (since 27 Apr 2018)
  • [FCA CF] Material risk taker (9 Oct 2020 to 5 Nov 2024)
• Hiroaki Sumiyoshi

  IRN HXS87644

  • [FCA CF] Material risk taker (25 Oct 2023 to 30 Jun 2025)
  • [FCA CF] Client dealing (21 Aug 2020 to 30 Jun 2025)
• Hirofumi Misawa

  IRN HXM01217

  • CF1 Director (3 Feb 2006 to 9 Aug 2007)
• Hiroshi Shikano

  IRN HXS33660

  • [FCA CF] Material risk taker (12 Nov 2019 to 1 Aug 2022)
  • [FCA CF] Client dealing (15 Jan 2018 to 1 Aug 2022)
  • [FCA CF] Manager of certification employee (15 Jan 2018 to 1 Aug 2022)

No changes recorded yet.