Form SBSE-A/A NOMURA INTERNATIONAL

  
    SBSE-A/A
    
      
        
          0001054306
          XXXXXXXX
        
      
      
        false
        false
      
    
  
  
    
      
        264077
        NOMURA INTERNATIONAL PLC
        98-0179281
        264077
        0001054306
        DGQCSV2PHVF7I2743539
        
          1 ANGEL LANE
          LONDON
          X0
          EC4R 3AB
        
        44 (0)20 7102 1000
        https://www.nomura.com
        
          
            Andrew
            Lester
          
          
          44 20 710 22886
          [email protected]
        
        
          
            Clare
            Jones
          
          
          44 20 710 20605
          [email protected]
        
      
      
        NOMURA INTERNATIONAL PLC
        264077
        Y
        N
        N
        Y
        Prudential Regulatory Authority / Financial Conduct Authority
        Nomura International plc ("NIP") intends to (1) rely on substituted compliance only in connection with those security-based swap activities for which it satisfies the conditions to substituted compliance listed in the Order Granting Conditional Substituted Compliance in Connection with Certain Requirements Applicable to Non-U.S. Security- Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the United Kingdom (the "Order") and (2) satisfy the relevant UK law provisions cited in paragraphs (b) to (f) (inclusive) of the Order and any additional conditions on substituted compliance imposed in those paragraphs through policies, procedures, and controls reasonably designed to ensure that NIP satisfies those provisions and conditions, which policies, procedures, and controls NIP will continue to review and enhance over time.
        Y
        Swap Dealer
        N
        Nomura International plc (NIP) operates as a UK-based Wholesale investment firm with a branch in United Arab Emirates (Dubai) and with third country licences / exemptions in a number of EU jurisdictions, Australia and South Africa. The Wholesale business provides services to a range of clients globally, which include corporates, government entities and financial institutions. It comprises: (i) Global Markets (GM), which provides financial products / solutions and secondary market liquidity in Fixed Income and Equities; (ii) Investment Banking (IB), which offers capital-raising and advisory services; and (iii) Client Financing & Solutions (CFS) business provides solutions and structured financing expertise encompassing traditional financing activity as well as liability side financing, ALM (Asset Liability Management) and private side solutions.
        N
        N
        N
        Y
        Y
      
      
        NOMURA INTERNATIONAL PLC
        264077
        Y
        Y
        Y
        N
        N
        Y
        15
        N
      
    
    
      NOMURA INTERNATIONAL PLC
      264077
      
        
          Aisling
          Maire
          Doyle
        
        Head of Business Unit, Division or Function
        01/2021
        09/2020
        N
        539833
      
      
        
          Clare
          Elizabeth
          Jones
        
        Chief Compliance Officer
        09/2016
        01/2008
        N
        523500
      
      
        
          David
          Warren
          Godfrey
        
        Director
        11/2015
        11/2015
        N
        499422
      
      
        
          John
          Gerard Mary
          Tierney
        
        COO
        05/2021
        10/2015
        N
        492211
      
      
        
          John
          Swafford
          Goff
        
        Head of Business Unit, Division or Function
        01/2021
        09/2020
        N
        534347
      
      
        
          Jonathan
          Britton
        
        Director
        01/2015
        01/2015
        N
        499421
      
      
        
          Jonathan
          Wayne
          Lewis
        
        Chief Executive Officer
        04/2015
        04/2008
        N
        489342
      
      
        
          Neeta
          Avnash Kaur
          Atkar
        
        Director
        03/2018
        03/2018
        N
        515721
      
      
        
          Rosemary
          Carol
          Murray
        
        Director
        12/2016
        12/2016
        N
        504462
      
      
        
          Charles
          Hugh
          Pitts-Tucker
        
        Head of Business Unit, Division or Function
        08/2010
        10/2008
        N
        540359
      
      
        
          Shaun
          Peter
          Bramham
        
        Head of Business Unit, Division or Function
        03/2020
        08/2015
        N
        540627
      
      
        
          Stephen
          Andrew
          Fuggle
        
        CFO
        10/2021
        06/2001
        N
        542777
      
      
        
          Christopher
          Colin
          Barlow
        
        Head of Business Unit, Division or Function
        07/2019
        08/2003
        N
        542935
      
      
        
          Daisuke
          Mototani
        
        Director
        04/2022
        04/2022
        N
        548585
      
      
        
          Naoyuki
          Oguri
        
        Director
        01/2022
        09/2021
        N
        543640
      
    
    
      NOMURA INTERNATIONAL PLC
      264077
      INITIAL
      
        DGQCSV2PHVF7I2743539
        Prudential Regulatory Authority / Financial Conduct Authority
        As outlined in question 7, Nomura International plc (NIP) operates an Investment Banking (IB) business and Client Financing & Solutions (CFS) business. The IB business has various specialist product and geography teams which offer capital-raising and advisory services to clients. The CFS business provides solutions and structured financing expertise encompassing traditional financing activity as well as liability side financing, ALM and private side solutions.
      
      
        
          
            Item 13A
            Nomura Financial Products Europe GmbH
            5493002XYZZ0CGQ6CB58
            
              Rathenauplatz 1
              Frankfurt am Main
              2M
              60313
            
            02-14-2019
          
          
            Item 13A
            Nomura Global Financial Products Inc
            008-69208
            0443849
            0Z3VO5H2G7GRS05BHJ91
            0001564206
            
              Worldwide Plaza 309 West 49th Street
              New York
              NY
              10019-7316
            
            03-04-2016
          
          
            Item 13A
            Nomura Securities Co., Ltd.
            002-36046
            0422404
            XPSKD1VTEQPKCHBEKQ95
            
              1-13-1 Nihonbashi, Chuo-ku
              Tokyo
              M0
              103-8011
            
            03-04-2016
          
          
            Item 13A
            Nomura Securities International, Inc.
            008-15255
            0089946
            OXTKY6Q8X53C9ILVV871
            0000072267
            
              Worldwide Plaza 309 West 49th Street
              New York
              NY
              10019-7316
            
            03-04-2016
          
        
        
          
            Item 13B
            ABSA GROUP LIMITED
            SLI1CVYMJ21DST0Q8K25
            
              ABSA BANK LTD
              ABSA BUILDING, 15 ALICE TOWN
              SANDTON
              T3
              00000
            
            03-02-2020
          
          
            Item 13B
            BANK LEUMI
            7JDSZWRGUQY2DSTWCR57
            
              BANK LEUMI LE ISRAEL B.M.
              34 YEHUDA HALEVI STREET
              TEL AVIV
              L3
              6513616
            
            04-03-2000
          
          
            Item 13B
            BANK OF AMERICA
            B4TYDEB6GKMZO031MB27
            
              BANK OF AMERICA N.A.
              150 N. COLLEGE ST. NC1-028-17-06
              CHARLOTTE
              NC
              28255
            
            03-24-1999
          
          
            Item 13B
            BANK OF NEW ZEALAND, WELLINGTON
            N7LGVZM7X4UQ66T7LT74
            
              BANK OF NEW ZEALAND
              L 4 SPARK CENTRAL, 42-52 WILLIS STREET
              WELLINGTON
              Q2
              1142
            
            03-04-2010
          
        
        
          
            Item 14
            Nomura Europe Holdings plc
            0455943
            549300IU15NXFPV2FC82
            
              1 Angel Lane
              London
              X0
              EC4R 3AB
            
            03-30-1999
          
          
            Item 14
            Nomura Holdings, Inc
            0235033
            549300B3CEAHYG7K8164
            0001163653
            
              1 13-1 Nihonbashi 1 Chome Chuo-Ku
              Tokyo
              M0
              103-8645
            
            03-30-1999
          
        
      
    
    
      NOMURA INTERNATIONAL PLC
      264077
      
        Firm
        Nomura Holding America, Inc.
        
          Worldwide Plaza 309 West 49th Street
          New York
          NY
          10019-7316
        
      
      /s/ Daisy Le Vay
      Daisy Le Vay
      Head of Legal
      10-28-2021
      
        Prudential Regulation Authority
        124442
        X0
      
      
        Financial Conduct Authority
        124442
        X0
      
      
        Dubai Financial Services Authority (Branch)
        F001008
        C0
      
      
        Danish Financial Supervisory Authority (Third Country Licence Holder)
        G7
      
      
        FIN-FSA - Finnish Financial Supervisory Authority (Third Country Licence Holder)
        FIVA 86/02.03.13/2019
        H9
      
      
        Luxembourg Financial Sector Supervisory Commission (Third Country Licence Holder)
        N4
      
    
    
      07-06-2022
      NOMURA INTERNATIONAL PLC
      /s/ Clare Jones
      Clare Jones
      Head of Compliance
    
  

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