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.

• Jean-Charles Koch

  IRN JXK01828

  • [FCA CF] Client dealing (3 Jan 2018 to 11 Dec 2020)
• Jean-Marc Alexandre Alexis

  IRN JAA01059

  • [FCA CF] Client dealing (since 7 Nov 2016)
  • [FCA CF] Manager of certification employee (since 7 Nov 2016)
  • [FCA CF] Material risk taker (since 7 Nov 2016)
• Jennifer Mary Feehan

  IRN JXF00482

  • [FCA CF] Manager of certification employee (3 Oct 2024 to 3 Dec 2025)
  • [FCA CF] Significant management (1 Nov 2023 to 3 Dec 2025)
• Jeremy Goldman

  IRN JXG01828

  • [FCA CF] Manager of certification employee (since 16 Aug 2024)
  • [FCA CF] Client dealing (since 24 Jul 2019)
• Jeremy Gosling

  IRN JDG01101

  • [FCA CF] Manager of certification employee (22 Jun 2020 to 18 Mar 2022)
  • [FCA CF] Material risk taker (31 Jan 2020 to 18 Mar 2022)
  • [FCA CF] Client dealing (25 May 2017 to 18 Mar 2022)
• Jeremy Leslie Arnold

  IRN JLA01052

  • SMF4 Chief Risk (7 Mar 2016 to 8 Jun 2018)
  • CF28 Systems and controls (26 Jan 2012 to 6 Mar 2016)
• Jerome Brochard

  IRN JXB02192

  • [FCA CF] Manager of certification employee (8 Feb 2024 to 25 Mar 2026)
  • [FCA CF] Material risk taker (8 Feb 2024 to 25 Mar 2026)
  • [FCA CF] Client dealing (8 Feb 2024 to 25 Mar 2026)
• Jerry Shaw

  IRN JDS01096

  • CF30 Customer (1 Nov 2007 to 10 Oct 2008)
  • CF26 Customer Trading (26 Sep 2003 to 31 Oct 2007)
• Jia Cong Lim

  IRN JCL01126

  • CF30 Customer (5 Feb 2013 to 16 Oct 2015)
• Jiahui Liu

  IRN JXL00661

  • [FCA CF] Client dealing (since 26 Apr 2023)

No changes recorded yet.