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.

• William O'Rourke

  IRN WXO47910

  • [FCA CF] Material risk taker (8 Nov 2022 to 23 Oct 2023)
  • [FCA CF] Significant management (24 Mar 2021 to 17 Aug 2023)
• William Scott

  IRN WXS01099

  • [FCA CF] Manager of certification employee (16 May 2017 to 20 May 2019)
  • [FCA CF] Material risk taker (16 May 2017 to 20 May 2019)
  • [FCA CF] Client dealing (1 Nov 2016 to 20 May 2019)
• Xavier Denis Eric Hofmann

  IRN XDH01001

  • [FCA CF] Material risk taker (21 Oct 2020 to 24 Aug 2021)
  • [FCA CF] Client dealing (7 Jun 2017 to 24 Aug 2021)
• Xavier Nicolaou

  IRN XXN01014

  • [FCA CF] Client dealing (since 28 Mar 2023)
  • [FCA CF] Material risk taker (since 11 Nov 2019)
  • [FCA CF] Manager of certification employee (since 31 Jan 2018)
  • [FCA CF] Significant management (8 May 2024 to 8 Jan 2025)
• YASUO KUBOI

  IRN YXK00054

  • [FCA CF] Significant management (15 Dec 2022 to 28 Apr 2025)
• YUKI HAYASHI

  IRN YXH00091

  • [FCA CF] Client dealing (since 30 May 2025)
• Yahiya Hamsa

  IRN YXH33742

  • [FCA CF] Manager of certification employee (4 May 2023 to 5 Aug 2024)
  • [FCA CF] Client dealing (14 Dec 2017 to 5 Aug 2024)
• Yakeen Mirchandani

  IRN YXM01145

  • [FCA CF] Manager of certification employee (since 6 Nov 2019)
  • [FCA CF] Client dealing (since 14 Nov 2016)
  • [FCA CF] Material risk taker (since 14 Nov 2016)
  • CF30 Customer (12 Jul 2012 to 6 Mar 2016)
• Yanchen Shi

  IRN YXS59858

  • [FCA CF] Client dealing (7 Aug 2017 to 18 Dec 2019)
• Yannis Airouche

  IRN YXA00035

  • [FCA CF] Client dealing (14 Jan 2022 to 27 Jan 2023)

No changes recorded yet.