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.

• Jonathan Powell

  IRN JFP01042

  • [FCA CF] Material risk taker (29 Mar 2022 to 1 Feb 2023)
  • [FCA CF] Manager of certification employee (15 Mar 2022 to 1 Feb 2023)
  • [FCA CF] Client dealing (21 Dec 2021 to 1 Feb 2023)
• Jonathan Wayne Lewis

  IRN JWL01071

  • [FCA CF] Manager of certification employee (25 Jul 2023 to 4 Dec 2024)
  • SMF1 Chief Executive (30 Sep 2016 to 14 Jan 2020)
  • CF28 Systems and controls (12 Jun 2009 to 19 Nov 2014)
• Jordan Griffith

  IRN JPG01132

  • [FCA CF] Material risk taker (21 Sep 2022 to 16 May 2023)
  • [FCA CF] Client dealing (21 Sep 2022 to 16 May 2023)
• Jose Ignacio Gorostiza Sanchez

  IRN JXG00699

  • [FCA CF] Client dealing (since 1 Jul 2025)
• Jose Sanches do Valle

  IRN JML01196

  • [FCA CF] Manager of certification employee (11 Sep 2018 to 6 Jul 2019)
• Joseph Daniel Houghton

  IRN JXH01116

  • [FCA CF] Client dealing (11 May 2023 to 19 Feb 2025)
• Joseph Franklin

  IRN JHF01047

  • [FCA CF] Manager of certification employee (28 Nov 2024 to 6 Dec 2024)
  • [FCA CF] Material risk taker (25 Oct 2023 to 6 Dec 2024)
  • [FCA CF] Client dealing (6 Jul 2023 to 6 Dec 2024)
• Joseph George Bunting Fett

  IRN JXB03955

  • [FCA CF] Client dealing (since 23 Jan 2025)
• Joseph Sassi

  IRN JMS33714

  • [FCA CF] Client dealing (27 Dec 2017 to 27 Aug 2021)
• Joshua Gajendren Ponniah

  IRN JXP01540

  • [FCA CF] Manager of certification employee (since 20 Aug 2024)
  • [FCA CF] Material risk taker (since 7 Dec 2023)
  • [FCA CF] Client dealing (since 16 Nov 2023)

No changes recorded yet.