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.

• Jiaying Li

  IRN JXL00847

  • [FCA CF] Client dealing (21 Sep 2024 to 3 Oct 2025)
• Joanna Lucas Sammons

  IRN JXS09500

  • [FCA CF] Significant management (2 Apr 2021 to 8 Feb 2023)
  • [FCA CF] Material risk taker (2 Feb 2017 to 8 Feb 2023)
• Joe Holden

  IRN JDH01168

  • [FCA CF] Material risk taker (27 Nov 2019 to 20 Sep 2022)
  • [FCA CF] Client dealing (31 May 2018 to 20 Sep 2022)
  • [FCA CF] Manager of certification employee (31 May 2018 to 20 Sep 2022)
• Johann Didier Dessay

  IRN JDD01105

  • [FCA CF] Material risk taker (9 Dec 2019 to 25 Aug 2022)
  • [FCA CF] Client dealing (8 Jan 2019 to 25 Aug 2022)
• John Edward Baker

  IRN JEB01133

  • SMF3 Executive Director (7 Mar 2016 to 7 Sep 2016)
  • CF1 Director (24 Jun 2015 to 6 Mar 2016)
• John Gerard Mary Tierney

  IRN JGT01085

  • SMF1 Chief Executive (since 14 Jan 2020)
  • SMF24 Chief Operations (14 Jan 2020 to 8 Jan 2025)
  • SMF2 Chief Finance (7 Mar 2016 to 14 Jan 2020)
  • CF28 Systems and controls (16 Oct 2015 to 6 Mar 2016)
  • CF1 Director (16 Oct 2015 to 6 Mar 2016)
• John Goff

  IRN JXG00028

  • [FCA CF] Client dealing (since 22 Nov 2023)
  • [FCA CF] Manager of certification employee (since 22 Nov 2023)
  • [FCA CF] Significant management (since 22 Nov 2023)
  • [FCA CF] Material risk taker (since 22 Nov 2023)
  • SMF6 Head of Key Business Areas (22 Jan 2021 to 20 Oct 2023)
  • [FCA CF] Manager of certification employee (2 Oct 2020 to 21 Jan 2021)
  • [FCA CF] Client dealing (2 Oct 2020 to 21 Jan 2021)
  • [FCA CF] Material risk taker (2 Oct 2020 to 21 Jan 2021)
  • [FCA CF] Significant management (2 Oct 2020 to 21 Jan 2021)
• John Gousias

  IRN JXG01840

  • [FCA CF] Material risk taker (since 18 Aug 2023)
  • [FCA CF] Manager of certification employee (since 2 Dec 2021)
  • [FCA CF] Significant management (since 14 May 2021)
  • [FCA CF] Client dealing (since 8 Apr 2021)
  • [FCA CF] Material risk taker (22 Nov 2019 to 3 Feb 2021)
  • [FCA CF] Manager of certification employee (22 Oct 2018 to 3 Feb 2021)
  • [FCA CF] Client dealing (22 Oct 2018 to 3 Feb 2021)
• John Lee

  IRN JXL00639

  • [FCA CF] Material risk taker (since 11 Nov 2025)
  • [FCA CF] Client dealing (since 27 Feb 2023)
• John Moore

  IRN JLM01131

  • [FCA CF] Manager of certification employee (30 May 2019 to 26 Nov 2021)
  • [FCA CF] Material risk taker (30 May 2019 to 26 Nov 2021)
  • [FCA CF] Client dealing (12 Jul 2018 to 26 Nov 2021)

No changes recorded yet.