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.

• Philip Charles Blunsen

  IRN PCB01037

  • CF21 Investment Adviser (1 Dec 2001 to 27 Mar 2002)
  • CF17 Significant Mgt (Other Business Operations) (1 Dec 2001 to 27 Mar 2002)
• Philip John Stark

  IRN PXS47628

  • [FCA CF] Client dealing (since 16 Apr 2024)
  • [FCA CF] Manager of certification employee (6 Mar 2024 to 30 Jun 2025)
• Philipp Seipp

  IRN PXS00695

  • [FCA CF] Client dealing (since 18 Aug 2023)
• Philippe Francois Guisset

  IRN PFG01034

  • [FCA CF] Manager of certification employee (since 18 Feb 2025)
  • [FCA CF] Material risk taker (since 10 Dec 2024)
  • [FCA CF] Client dealing (since 30 Oct 2024)
• Pier Dalmasso

  IRN PMD33723

  • [FCA CF] Material risk taker (12 Oct 2022 to 26 Jul 2024)
  • [FCA CF] Client dealing (16 Jul 2018 to 26 Jul 2024)
• Pier Denis Cortial

  IRN PXC01690

  • [FCA CF] Material risk taker (22 Jan 2020 to 31 Mar 2025)
  • [FCA CF] Manager of certification employee (21 May 2018 to 31 Mar 2025)
  • [FCA CF] Client dealing (27 Apr 2018 to 31 Mar 2025)
• Pierre-Etienne Louis Mari Lallia

  IRN PLL01033

  • [FCA CF] Material risk taker (11 Nov 2019 to 14 Oct 2020)
  • [FCA CF] Client dealing (1 Nov 2016 to 14 Oct 2020)
• Pierre-Henri Leblanc

  IRN PXL01493

  • [FCA CF] Material risk taker (29 Jan 2018 to 20 Nov 2019)
  • [FCA CF] Client dealing (29 Jan 2018 to 20 Nov 2019)
• Piers Alfred Le Marchant

  IRN PAL01180

  • CF10 Compliance Oversight (11 Oct 2012 to 25 Jan 2013)
• Pranay Parmar

  IRN PXP01547

  • [FCA CF] Material risk taker (14 Sep 2021 to 3 Nov 2023)
  • [FCA CF] Client dealing (22 Apr 2021 to 3 Nov 2023)

No changes recorded yet.