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.

• Ronan Eamon Patrick Dowling

  IRN RED01019

  • [FCA CF] Significant management (9 Apr 2021 to 28 Sep 2021)
  • [FCA CF] Material risk taker (11 Nov 2016 to 28 Sep 2021)
  • [FCA CF] Manager of certification employee (11 Nov 2016 to 28 Sep 2021)
  • [FCA CF] Client dealing (11 Nov 2016 to 28 Sep 2021)
• Ronan James Dunne

  IRN RXD00572

  • [FCA CF] Client dealing (since 8 Jul 2025)
• Rondette Amoy Smith

  IRN RXS00491

  • [FCA CF] Significant management (13 Jul 2021 to 17 Apr 2023)
• Rory Beaton

  IRN RXB01632

  • [FCA CF] Manager of certification employee (since 13 Jan 2017)
  • [FCA CF] Client dealing (since 13 Jan 2017)
  • [FCA CF] Material risk taker (since 1 Nov 2016)
• Rosemary Carol Murray

  IRN RCM01099

  • Director of firm who is not a certification employee or a SMF manager (22 Oct 2020 to 14 Dec 2025)
• Ross Farooq French

  IRN RXF00258

  • [FCA CF] Client dealing (20 Apr 2023 to 19 Sep 2025)
• Ruchir Sharma

  IRN RXS00961

  • [FCA CF] Significant management (1 Mar 2024 to 10 Feb 2025)
  • [FCA CF] Manager of certification employee (16 Feb 2024 to 10 Feb 2025)
  • [FCA CF] Material risk taker (29 Nov 2023 to 10 Feb 2025)
  • [FCA CF] Client dealing (15 Nov 2023 to 10 Feb 2025)
• Rudy Cheuk-wang Yuen

  IRN RXY00077

  • [FCA CF] Client dealing (14 Oct 2024 to 1 Apr 2025)
• Russell John Watson

  IRN RXW70427

  • [FCA CF] Material risk taker (16 Nov 2022 to 6 Nov 2023)
• Ruth Elizabeth Siddorn

  IRN RXS00977

  • [FCA CF] Client dealing (since 22 Dec 2023)

No changes recorded yet.