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.

• Neil Humble

  IRN NGH01018

  • [FCA CF] Client dealing (since 11 May 2018)
  • [FCA CF] Material risk taker (12 Nov 2019 to 10 Nov 2025)
  • [FCA CF] Manager of certification employee (3 May 2019 to 3 Dec 2020)
• Niccolo' Bonetti

  IRN NXB00528

  • [FCA CF] Client dealing (since 10 Jun 2024)
• Nicholas Dent

  IRN NJD01053

  • [FCA CF] Significant management (since 10 May 2023)
  • [FCA CF] Client dealing (since 27 Nov 2017)
  • [FCA CF] Material risk taker (since 27 Nov 2017)
  • [FCA CF] Manager of certification employee (since 27 Nov 2017)
• Nicholas Henry Brailsford Lawson

  IRN NXL01237

  • [FCA CF] Material risk taker (10 Aug 2021 to 26 Jun 2024)
  • [FCA CF] Client dealing (10 Aug 2021 to 26 Jun 2024)
• Nicholas John Bothwell

  IRN NJB01239

  • [FCA CF] Significant management (since 27 Dec 2023)
• Nicholas Luder

  IRN NJL01082

  • [FCA CF] Material risk taker (since 19 May 2023)
  • [FCA CF] Client dealing (since 10 Mar 2023)
• Nicholas Robert Paget Le Quesne

  IRN NRL01035

  • [FCA CF] Client dealing (5 Sep 2018 to 20 May 2019)
• Nicola Di Lena

  IRN NXD01139

  • [FCA CF] Client dealing (since 1 Nov 2016)
  • [FCA CF] Manager of certification employee (since 1 Nov 2016)
  • [FCA CF] Material risk taker (since 1 Nov 2016)
  • CF30 Customer (23 Jul 2012 to 6 Mar 2016)
• Nicolas Caseris

  IRN NXC01225

  • [FCA CF] Material risk taker (since 15 Nov 2019)
  • [FCA CF] Manager of certification employee (since 2 Nov 2018)
  • [FCA CF] Client dealing (since 8 Jan 2018)
• Nicolas Naillon

  IRN NXN00078

  • [FCA CF] Significant management (since 20 Apr 2022)
  • [FCA CF] Client dealing (since 20 Apr 2022)
  • [FCA CF] Material risk taker (since 20 Apr 2022)

No changes recorded yet.