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.

• Richard John Ahern

  IRN RJA01147

  • CF11 Money Laundering Reporting (14 Jul 2010 to 14 Feb 2011)
• Richard John Oliver

  IRN RJO01030

  • [FCA CF] Client dealing (10 Jan 2018 to 18 Jan 2019)
  • [FCA CF] Manager of certification employee (3 Jan 2018 to 18 Jan 2019)
• Richard John Peter Gill

  IRN RJG01221

  • CF30 Customer (24 Oct 2014 to 2 Sep 2015)
• Richard Noble

  IRN RGN01010

  • [FCA CF] Significant management (24 Mar 2021 to 31 Mar 2023)
  • [FCA CF] Client dealing (3 Nov 2016 to 31 Mar 2023)
  • [FCA CF] Manager of certification employee (3 Nov 2016 to 17 Dec 2020)
  • [FCA CF] Material risk taker (3 Nov 2016 to 31 Mar 2023)
• Richard Paul Glenn

  IRN RPG01024

  • [FCA CF] Material risk taker (20 Jan 2017 to 28 Apr 2019)
  • [FCA CF] Client dealing (2 Nov 2016 to 28 Apr 2019)
  • [FCA CF] Manager of certification employee (2 Nov 2016 to 28 Apr 2019)
• Richard Peter Turner

  IRN RPT01056

  • [FCA CF] Material risk taker (7 Apr 2021 to 3 Jun 2022)
  • [FCA CF] Manager of certification employee (7 Apr 2021 to 3 Jun 2022)
  • [FCA CF] Client dealing (16 Mar 2021 to 3 Jun 2022)
• Richard Sykes Royston

  IRN RXR00257

  • [FCA CF] Significant management (since 15 Jun 2022)
• Rishi Seth

  IRN RXS02498

  • [FCA CF] Client dealing (16 Jul 2018 to 1 Sep 2019)
• Robert Anderson

  IRN RXA01137

  • [FCA CF] Material risk taker (14 Apr 2023 to 6 Oct 2025)
  • [FCA CF] Manager of certification employee (28 Feb 2020 to 6 Oct 2025)
• Robert Charles Stanley

  IRN RCS01058

  • CF21 Investment Adviser (16 Jul 2003 to 14 Feb 2007)

No changes recorded yet.