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.

• Andreas Kirmse

  IRN AXK00213

  • CF21 Investment Adviser (2 Aug 2003 to 1 Aug 2005)
• Andres Chiou

  IRN AXC01370

  • [FCA CF] Manager of certification employee (since 4 Jul 2025)
  • [FCA CF] Material risk taker (since 23 Oct 2024)
  • [FCA CF] Significant management (since 5 Jun 2024)
• Andrew Gerald Davis

  IRN AGD01026

  • [FCA CF] Material risk taker (29 Jan 2018 to 9 Feb 2022)
  • [FCA CF] Client dealing (29 Jan 2018 to 9 Feb 2022)
• Andrew Humroy

  IRN AXH47634

  • [FCA CF] Client dealing (since 10 Sep 2020)
• Andrew Inness-Chaytor

  IRN AMI01010

  • [FCA CF] Manager of certification employee (since 26 Feb 2024)
  • [FCA CF] Material risk taker (since 14 Apr 2023)
  • [FCA CF] Manager of certification employee (18 Mar 2019 to 21 May 2023)
• Andrew Keng-Teh Chen

  IRN AKC01043

  • [FCA CF] Material risk taker (14 Nov 2019 to 20 Oct 2024)
  • [FCA CF] Client dealing (23 May 2018 to 28 Feb 2025)
• Andrew Kevin Pearson

  IRN AXP01074

  • [FCA CF] Significant management (since 17 Dec 2024)
• Andrew Lionel Philip Kellner

  IRN ALK01030

  • [FCA CF] Material risk taker (since 6 Nov 2024)
  • [FCA CF] Manager of certification employee (since 14 Mar 2024)
  • [FCA CF] Significant management (since 14 Mar 2024)
  • [FCA CF] Client dealing (since 14 Mar 2024)
• Andrew Mark Lester

  IRN AXL47891

  • [FCA CF] Material risk taker (since 16 Nov 2022)
  • [FCA CF] Significant management (since 24 Mar 2021)
• Andrew Redd

  IRN AXR02806

  • [FCA CF] Material risk taker (since 25 Nov 2024)
  • [FCA CF] Significant management (since 31 Oct 2024)

No changes recorded yet.