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.

• Thomas McDonald Palmer

  IRN TXP01197

  • [FCA CF] Manager of certification employee (23 Nov 2018 to 24 Jul 2019)
  • [FCA CF] Client dealing (31 Jan 2018 to 24 Jul 2019)
  • [FCA CF] Material risk taker (31 Jan 2018 to 24 Jul 2019)
• Thomas Michael Heenan

  IRN TMH01057

  • [FCA CF] Significant management (9 Apr 2021 to 1 Feb 2022)
  • [FCA CF] Material risk taker (22 Nov 2019 to 1 Feb 2022)
  • [FCA CF] Client dealing (16 Apr 2018 to 1 Feb 2022)
  • [FCA CF] Manager of certification employee (16 Apr 2018 to 1 Feb 2022)
• Thomas Parry

  IRN TWP33725

  • [FCA CF] Client dealing (11 Dec 2017 to 22 Sep 2021)
• Thomas Pierre Guy Felix Louarn

  IRN TPL01031

  • [FCA CF] Client dealing (since 29 Aug 2024)
  • [FCA CF] Material risk taker (since 29 Aug 2024)
• Thomas Safi

  IRN TJS01173

  • [FCA CF] Material risk taker (since 18 Oct 2023)
  • [FCA CF] Client dealing (since 18 Jun 2021)
• Thomas Tierney

  IRN TXT00125

  • [FCA CF] Material risk taker (since 11 Nov 2025)
  • [FCA CF] Client dealing (since 16 Feb 2023)
• Thomas Weitz

  IRN TXW01338

  • CF30 Customer (28 Jan 2013 to 20 Mar 2013)
• Thomas Whinfield Scholar

  IRN TWS01022

  • SMF9 Chair of the Governing Body (since 10 Apr 2024)
  • Director of firm who is not a certification employee or a SMF manager (1 Jan 2024 to 9 Apr 2024)
• Thomas Woolaghan

  IRN TDW01019

  • [FCA CF] Material risk taker (since 22 Dec 2017)
  • [FCA CF] Client dealing (since 22 Dec 2017)
  • [FCA CF] Manager of certification employee (16 Sep 2022 to 15 May 2024)
  • CF30 Customer (16 Jul 2012 to 6 Mar 2016)
• Tianyi Song

  IRN TXS72010

  • [FCA CF] Client dealing (28 Dec 2023 to 30 Dec 2025)

No changes recorded yet.