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.

• Kaustubh Shrotriya

  IRN KXS00500

  • [FCA CF] Material risk taker (since 24 Mar 2026)
  • [FCA CF] Material risk taker (9 Nov 2022 to 18 Dec 2023)
• Kaveh Cyrus Taleghani

  IRN KXT01157

  • CF30 Customer (4 Feb 2011 to 5 Dec 2013)
• Kavithan Sivabalasubramaniam

  IRN KXS01559

  • [FCA CF] Significant management (since 20 Sep 2024)
  • [FCA CF] Material risk taker (since 12 Nov 2019)
  • [FCA CF] Client dealing (since 10 May 2018)
  • [FCA CF] Manager of certification employee (since 31 Jan 2018)
• Keith Steven Gilligan

  IRN KXG00378

  • [FCA CF] Client dealing (since 3 Jun 2025)
• Kenji Kimura

  IRN KXK01316

  • CF1 Director (3 Oct 2011 to 30 Aug 2012)
• Kenji Yokoyama

  IRN KXY01052

  • CF1 Director (3 Feb 2006 to 31 Mar 2011)
  • CF3 Chief Executive (3 Feb 2006 to 24 Jun 2009)
  • CF8 Apportionment and Oversight (3 Feb 2006 to 31 Oct 2007)
• Kerem Efe Acaroglu

  IRN KEA01006

  • CF30 Customer (10 Jul 2012 to 5 May 2015)
• Kevin Clark

  IRN KXC01349

  • [FCA CF] Material risk taker (12 Nov 2019 to 31 Mar 2022)
  • [FCA CF] Client dealing (14 Nov 2016 to 31 Mar 2022)
  • CF30 Customer (16 Jul 2012 to 6 Mar 2016)
• Kevin Dunning

  IRN KXD00194

  • [FCA CF] Manager of certification employee (since 25 Mar 2026)
  • [FCA CF] Material risk taker (since 25 Mar 2026)
  • [FCA CF] Material risk taker (8 Nov 2022 to 18 Dec 2023)
• Kevin Patrick Connors

  IRN KPC01023

  • [FCA CF] Material risk taker (25 Jun 2021 to 6 Sep 2024)
  • [FCA CF] Manager of certification employee (28 May 2021 to 6 Sep 2024)
  • [FCA CF] Significant management (12 Apr 2021 to 6 Sep 2024)
  • [FCA CF] Client dealing (12 Apr 2021 to 6 Sep 2024)

No changes recorded yet.