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.

• Simon Dennis Freedman

  IRN SDF01040

  • [FCA CF] Material risk taker (since 11 Apr 2023)
  • [FCA CF] Manager of certification employee (since 15 Dec 2022)
  • [FCA CF] Manager of certification employee (3 Mar 2020 to 23 Nov 2021)
• Simon Green

  IRN SXG01471

  • [FCA CF] Material risk taker (20 Dec 2022 to 7 Nov 2024)
  • [FCA CF] Client dealing (15 Dec 2022 to 4 Mar 2025)
  • [FCA CF] Manager of certification employee (19 Apr 2021 to 28 Oct 2021)
• Simon James Morgan

  IRN SJM01504

  • [FCA CF] Significant management (27 Apr 2023 to 3 May 2024)
  • [FCA CF] Client dealing (6 Apr 2021 to 3 May 2024)
  • [FCA CF] Material risk taker (13 Nov 2019 to 3 May 2024)
  • [FCA CF] Manager of certification employee (16 Aug 2018 to 3 May 2024)
• Simon John Russell

  IRN SJR01172

  • [FCA CF] Material risk taker (3 Jun 2021 to 23 Feb 2023)
  • [FCA CF] Significant management (3 Jun 2021 to 23 Feb 2023)
• Simon Martin Green

  IRN SMG01085

  • [FCA CF] Manager of certification employee (10 May 2023 to 20 Sep 2024)
  • [FCA CF] Client dealing (16 Jan 2023 to 20 Sep 2024)
  • [FCA CF] Material risk taker (16 Jan 2023 to 20 Sep 2024)
• Simon Michael Bristow

  IRN SMB01117

  • [FCA CF] Material risk taker (since 27 Apr 2023)
  • [FCA CF] Significant management (since 9 Apr 2021)
• Simon Thorn

  IRN SPT01077

  • CF10 Compliance Oversight (15 Sep 2008 to 20 Mar 2012)
• Siobhan McElligott

  IRN SXM00733

  • [FCA CF] Client dealing (17 Jun 2021 to 22 Jun 2022)
• Sital Patel

  IRN SXP00726

  • [FCA CF] Material risk taker (20 Oct 2023 to 31 Jan 2025)
  • [FCA CF] Client dealing (13 Jan 2023 to 31 Jan 2025)
• Sonam Yadav

  IRN SXY01164

  • [FCA CF] Client dealing (since 15 Jun 2023)

No changes recorded yet.