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.

• Keyvan Zolfaghari

  IRN KXZ01006

  • [FCA CF] Material risk taker (25 Jan 2024 to 30 Sep 2024)
  • [FCA CF] Client dealing (6 Mar 2023 to 30 Sep 2024)
  • [FCA CF] Manager of certification employee (6 Mar 2023 to 30 Sep 2024)
• Khalid Laghroubi

  IRN KXL00148

  • [FCA CF] Client dealing (12 Oct 2023 to 31 Mar 2025)
• Khilan Shah

  IRN KVS01006

  • [FCA CF] Client dealing (since 13 Apr 2022)
  • [FCA CF] Material risk taker (since 17 Mar 2021)
  • [FCA CF] Manager of certification employee (since 28 Aug 2020)
  • [FCA CF] Significant management (22 Jul 2021 to 7 Aug 2022)
• Kieran Charles Poynter

  IRN KCP01018

  • CF2 Non Executive Director (18 Jun 2010 to 12 Jun 2015)
• Kieran Noel Higgins

  IRN NKH01005

  • CF29 Significant management (3 Aug 2009 to 11 Jun 2012)
• Kilian Frensch

  IRN KXF01203

  • [FCA CF] Manager of certification employee (4 Oct 2023 to 28 Oct 2025)
  • [FCA CF] Client dealing (4 Oct 2023 to 28 Oct 2025)
  • [FCA CF] Material risk taker (4 Oct 2023 to 28 Oct 2025)
• Kirt Bains

  IRN KXB01376

  • [FCA CF] Manager of certification employee (4 Feb 2022 to 28 Dec 2022)
  • [FCA CF] Client dealing (2 Feb 2018 to 28 Dec 2022)
  • [FCA CF] Material risk taker (2 Feb 2018 to 28 Dec 2022)
• Koji Kato

  IRN KXK01146

  • [FCA CF] Client dealing (1 Nov 2016 to 21 Apr 2019)
  • [FCA CF] Material risk taker (1 Nov 2016 to 21 Apr 2019)
  • CF30 Customer (26 Nov 2009 to 6 Mar 2016)
• Krishan Sareen

  IRN KXS29677

  • [FCA CF] Client dealing (since 13 Dec 2022)
• Krishnan Subramanyan

  IRN KXS00832

  • [FCA CF] Significant management (since 29 Apr 2025)

No changes recorded yet.