# EDGAR Filing Document

**Accession Number:** 0001054306
**File Stem:** 0001140361-25-036376
**Filing Date:** 2025-9
**Character Count:** 22641
**Document Hash:** 92030fa2a7aca39375734bdbc58bb568
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001140361-25-036376.hdr.sgml**: 20251114

**ACCESSION NUMBER**: 0001140361-25-036376

**CONFORMED SUBMISSION TYPE**: SBSE-A/A

**PUBLIC DOCUMENT COUNT**: 14

**FILED AS OF DATE**: 20250929

**DATE AS OF CHANGE**: 20251114

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** NOMURA INTERNATIONAL PLC
- **CENTRAL INDEX KEY:** 0001054306

**ORGANIZATION NAME:**
- **EIN:** 980179281

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00171
- **FILM NUMBER:** 251485279

**BUSINESS ADDRESS:**
- **ADDRESS IS A NON US LOCATION:** YES
- **STREET 1:** 1 ANGEL LANE
- **CITY:** LONDON
- **PROVINCE COUNTRY:** X0
- **ZIP:** EC4R 3AB
- **BUSINESS PHONE:** 44 (0)20 7102 1000

**MAIL ADDRESS:**
- **ADDRESS IS A NON US LOCATION:** YES
- **STREET 1:** 1 ANGEL LANE
- **CITY:** LONDON
- **PROVINCE COUNTRY:** X0
- **ZIP:** EC4R 3AB

### Attached PDF Documents

**Attachment 1:** `ef20056113_overview1.pdf`

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**Attachment 2:** `ef20056113_schbsec2-13A.pdf`

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**Attachment 3:** `ef20056113_schbsec2-13B.pdf`

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**Attachment 4:** `ef20056113_schbsec2-14.pdf`

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**Attachment 5:** `ef20056113_ex99-36i.pdf`

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**Attachment 6:** `ef20056113_ex99-36ii.pdf`

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**Attachment 7:** `ef20056113_ex99-36iii.pdf`

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**Attachment 8:** `ef20056113_ex99-36iv.pdf`

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**Attachment 9:** `ef20056113_ex99-36v.pdf`

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**Attachment 10:** `ef20056113_hongkong.pdf`

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**Attachment 11:** `ef20056113_japan.pdf`

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**Attachment 12:** `ef20056113_singapore.pdf`

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**Attachment 13:** `ef20056113_uk.pdf`

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## Form SBSE-A: Registration for Security-Based Swap Dealers

### Applicant Information

**Full Applicant Name:** NOMURA INTERNATIONAL PLC

**NFA Number:** 264077

**IRS Employer ID No.:** 98-0179281

**CIK:** 0001054306

**UIC:** DGQCSV2PHVF7I2743539

**Main Address:** 1 ANGEL LANE, LONDON, X0, EC4R 3AB

**Business Telephone:** 44 (0)20 7102 1000

**Contact Employee:**

- **Name:** Sally McAllister

- **Title:** Head of Swap Dealer Compliance Team

- **Phone:** 44 20 710 23363

- **Email:** sally.mcallister@nomura.com

**Chief Compliance Officer:**

- **Name:** Jonathan Peter Stone

- **Title:** Head of Compliance, NEHS; CCO NIP Swap Dealer

- **Phone:** 44 20 710 22339

- **Email:** jonathan.stone@nomura.com

### Business and Activities

**Registered as Swap Dealer?:** Yes

**Registered as Swap Participant?:** No

**Uses Mathematical Models?:** Yes

**Is a Non-Resident Entity?:** No

**Subject to Prudential Regulator?:** No

**Is an Investment Advisor?:** No

**Engaged in Other Business?:** Yes

**Holds Customer Funds?:** Yes

**Description of Business:**
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.

### Control and History

**Are records kept by another entity?:** Yes

**Does another entity hold funds on behalf of applicant?:** Yes

**Is control exercised through an agreement?:** Yes

**Is applicant financed by another entity?:** No

**Is applicant succeeding a prior entity?:** No

**Subject to foreign regulation?:** Yes

**Number of Principals:** 17

### Schedule A: Principals

| Name                     | Title or Status                             | Date Acquired   | Date Began Working   | Ownership   |   NFA ID No. |
|:---|:---|:---|:---|:---|---:|
| Aisling Maire Doyle      | Head of Business Unit, Division or Function | 01/2021         | 09/2020              |  |       539833 |
| Jonathan Peter Stone     | Chief Compliance Officer                    | 11/2023         | 10/2017              |  |       559582 |
| John Gerard Mary Tierney | Chief Executive Officer                     | 05/2017         | 10/2015              |  |       492211 |
| Leigh Andrew Cleasby     | Head of Business Unit, Division or Function | 11/2024         | 05/2007              |  |       567256 |
| Aubrey Richard Lomas     | Head of Business Unit, Division or Function | 11/2024         | 04/2004              |  |       567278 |
| Martin Butler            | Director                                    | 09/2024         | 09/2024              |  |       454869 |
| Neeta Avnash, Kaur Atkar | Director                                    | 03/2018         | 03/2018              |  |       515721 |
| Rosemary Carol Murray    | Director                                    | 12/2016         | 12/2016              |  |       504462 |
| Patrice Maffre           | Director                                    | 05/2023         | 08/2006              |  |       555765 |
| Stephen Andrew Fuggle    | CFO                                         | 10/2021         | 06/2001              |  |       542777 |
| Christopher Colin Barlow | Head of Business Unit, Division or Function | 07/2019         | 08/2003              |  |       542935 |
| Daisuke Mototani         | Director                                    | 04/2022         | 04/2022              |  |       548585 |
| Naoyuki Oguri            | Director                                    | 01/2022         | 09/2021              |  |       543640 |
| Magnus Henry Peter Falk  | Director                                    | 03/2023         | 03/2023              |  |       555174 |
| Nathaniel James Tyce     | Head of Business Unit, Division or Function | 10/2023         | 05/2023              |  |       497961 |
| Thomas Whinfield Scholar | Director                                    | 01/2024         | 01/2024              |  |       560016 |
| Debra Davies             | Director                                    | 09/2025         | 09/2025              |  |       550108 |

### Schedule B: Explanations

**Description:**
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.

**Records Keeper:**

- **Name:** Nomura Financial Products Europe GmbH

  - **Address:** Rathenauplatz 1, Frankfurt am Main, 2M, 60313

  - **Effective Date:** 02-14-2019

  - **Arrangement:** Books and records relating to activity by designated APs.

- **Name:** Nomura Global Financial Products Inc

  - **Address:** Worldwide Plaza 309 West 49th Street, New York, NY, 10019-7316

  - **Effective Date:** 03-04-2016

  - **Arrangement:** Books and records relating to activity by designated APs.

- **Name:** Nomura Securities Co., Ltd.

  - **Address:** 1-13-1 Nihonbashi, Chuo-ku, Tokyo, M0, 103-8011

  - **Effective Date:** 03-04-2016

  - **Arrangement:** Books and records relating to activity by designated APs.

- **Name:** Nomura Securities International, Inc.

  - **Address:** Worldwide Plaza 309 West 49th Street, New York, NY, 10019-7316

  - **Effective Date:** 03-04-2016

  - **Arrangement:** Books and records relating to activity by designated APs.

- **Name:** Nomura International (Hong Kong) Ltd

  - **Address:** 30/F, Two International Finance Centre, 8 Finance Street, Central, K3, 00000

  - **Effective Date:** 03-04-2016

  - **Arrangement:** Books and records relating to activity by designated APs.

- **Name:** Nomura Singapore Limited

  - **Address:** 10 Marina Blvd, Marina Bay Financial Ctr, Tower 2, #36-01, Singapore, U0, 018983

  - **Effective Date:** 03-04-2016

  - **Arrangement:** Books and records relating to activity by designated APs.

- **Name:** Nomura Investments (Singapore) Pte. Ltd.

  - **Address:** 10 Marina Blvd, Marina Bay Financial Ctr, Tower 2, #36-01, Singapore, U0, 018983

  - **Effective Date:** 10-19-2021

  - **Arrangement:** Books and records relating to activity by designated APs.

- **Name:** Nomura Special Investments Singapore Pte Ltd

  - **Address:** 10 Marina Blvd, Marina Bay Financial Ctr, Tower 2, #36-01, Singapore, U0, 018983

  - **Effective Date:** 10-19-2021

  - **Arrangement:** Books and records relating to activity by designated APs.

- **Name:** Nomura Bank (Switzerland) Ltd

  - **Address:** Kasernenstrasse 1, Zurich, V8, 8004

  - **Effective Date:** 03-25-2021

  - **Arrangement:** Books and records relating to activity by designated APs.

- **Name:** Nomura Australia Limited

  - **Address:** Level 41, Governor Phillip Tower, 1 Farrer Place, Sydney, N.S.W., C3, 2000

  - **Effective Date:** 03-04-2016

  - **Arrangement:** Books and records relating to activity by designated APs.

- **Name:** Nomura Financial Investment (Korea) Co., Ltd.

  - **Address:** 17th FL, Seoul Finance Center, 136 Sejong-daero, Jung-gu, Seoul, M5, 04520

  - **Effective Date:** 10-12-2021

  - **Arrangement:** Books and records relating to activity by designated APs.

- **Name:** Nice Actimize

  - **Address:** 221 River St, 10th Floor, Hoboken, NJ, 07030

  - **Effective Date:** 03-31-2011

  - **Arrangement:** Books and records relating to counterparty identification and Know Your Client processes conducted by the applicant.

- **Name:** DTCC Derivatives Repository Ltd.

  - **Address:** 55 Water Street, New York, NY, 10041

  - **Effective Date:** 11-24-2011

  - **Arrangement:** Books and records relating to trade affirmations and electronic confirmations for transactions executed by the applicant.

- **Name:** MarkitSERV Limited

  - **Address:** London Fruit & Wool Exchange, 1 Duval Square, London, X0, E1 6PW

  - **Effective Date:** 04-08-2015

  - **Arrangement:** Books and records relating to trade affirmations and electronic confirmations for transactions executed by the applicant.

- **Name:** Nomura Structured Finance Services Private Limited

  - **Address:** Nomura Building Off High Street, Hiranandani Business Park, Powai, Mumbai, K7, 400 076

  - **Effective Date:** 10-13-2008

  - **Arrangement:** Books and records relating to activity by designated APs.

- **Name:** BANQUE NOMURA FRANCE

  - **Address:** 7 place d'Iena, CEDEX 16, PARIS, I0, 75773

  - **Effective Date:** 02-01-2023

  - **Arrangement:** Books and records relating to activity by designated APs.

- **Name:** INSTINET LLC

  - **Address:** Worldwide Plaza, 309 West 49th Street, New York, NY, 10013

  - **Effective Date:** 01-03-2024

  - **Arrangement:** Books and records relating to activity by designated APs.

**Onbehalf:**

- **Name:** ABSA GROUP LIMITED

  - **Address:** ABSA BANK LTD, ABSA BUILDING, 15 ALICE TOWN, SANDTON, T3, 00000

  - **Effective Date:** 03-02-2020

  - **Arrangement:** Custodian in South Africa

- **Name:** BANK LEUMI

  - **Address:** BANK LEUMI LE ISRAEL B.M., 34 YEHUDA HALEVI STREET, TEL AVIV, L3, 6513616

  - **Effective Date:** 04-03-2000

  - **Arrangement:** Custodian in Israel

- **Name:** BANK OF AMERICA

  - **Address:** BANK OF AMERICA N.A., 150 N. COLLEGE ST. NC1-028-17-06, CHARLOTTE, NC, 28255

  - **Effective Date:** 03-24-1999

  - **Arrangement:** USD cash correspondent

- **Name:** BANK OF NEW ZEALAND, WELLINGTON

  - **Address:** BANK OF NEW ZEALAND, L 4 SPARK CENTRAL, 42-52 WILLIS STREET, WELLINGTON, Q2, 1142

  - **Effective Date:** 03-04-2010

  - **Arrangement:** NZD cash correspondent

- **Name:** BANQUE INTERNATIONALE ARABE DE TUNISIE

  - **Address:** BANQUE INTERNATIONALE ARABE DE TUNISIE, 70-72 AV. HABIB BOURGUIBA, BP 520, TUNIS, W6, 1000

  - **Effective Date:** 04-21-1998

  - **Arrangement:** Custodian in Tunisia

- **Name:** BARCLAYS

  - **Address:** BARCLAYS BANK PLC, 1 CHURCHILL PLACE, LONDON, X0, E14 5HP

  - **Effective Date:** 07-20-1992

  - **Arrangement:** GBP cash correspondent

- **Name:** BNP PARIBAS

  - **Address:** BNP PARIBAS SECURITIES SERVICES, PARIS, 3 RUE D'ANTIN, PARIS, I0, 75002

  - **Effective Date:** 12-30-1996

  - **Arrangement:** Custodian in Germany, Italy, Austria, Greece, Portugal, Spain, Hungary, cash correspondent in HUF. Multiple sub-arrangements exist - provider shown at an aggregated level.

- **Name:** BONY

  - **Address:** THE BANK OF NEW YORK MELLON, 240 GREENWICH ST, NEW YORK, NY, 10286

  - **Effective Date:** 03-19-2009

  - **Arrangement:** Custodian in US

- **Name:** CITIBANK

  - **Address:** CITIBANK N.A., 388 GREENWICH STREET, NEW YORK, NY, 10013

  - **Effective Date:** 08-19-1991

  - **Arrangement:** EUR/JPY/KRW/MAD cash correspondent; custodian in Turkey, Russia, Bulgaria, Switzerland, Egypt, LATAM (including Chile, Peru, Mexico, Argentina, Brazil) ; APAC custodian (including New Zealand, Australia, Hong Kong, South Korea, Thailand, Indonesia, Philippines, Singapore, Taiwan, Vietnam). Multiple sub-arrangements exist - provider shown at an aggregated level.

- **Name:** DEUTSCHE BANK

  - **Address:** DEUTSCHE BANK MALAYSIA BERHAD LVL 18-20, MENARA IMC, 8 JALAN SULTAN ISMAIL, KUALA LUMPUR, N8, 50250

  - **Effective Date:** 08-13-2012

  - **Arrangement:** Custodian in Malaysia

- **Name:** EUROCLEAR

  - **Address:** EUROCLEAR BANK S.A./N.V., 1 BOULEVARD DU ROI ALBERT II, BRUSSELS, C9, B-1210

  - **Effective Date:** 06-29-1976

  - **Arrangement:** Custodian in France, Netherlands, Belgium

- **Name:** HSBC

  - **Address:** HONGKONG AND SHANGHAI BANKING CORP LTD, 1 QUEENS ROAD CENTRAL, HONG KONG, K3, 00000

  - **Effective Date:** 05-11-1998

  - **Arrangement:** Custodian / cash correspondent in Middle East (include UAE, Qatar, Bahrain, Oman, Kuwait); CNY/HKD cash correspondent; APAC custodian (including India, Sri Lanka, China, Hong Kong).Multiple sub-arrangements exist - provider shown at an aggregated level.

- **Name:** ING

  - **Address:** ING BANK SLASKI S.A., KATOWICE 34, SOKOLSKA ST., KATOWICE, R9, 40-086

  - **Effective Date:** 05-07-2013

  - **Arrangement:** Custodian in Poland

- **Name:** ITAU

  - **Address:** ITAU UNIBANCO S/A., PRACA ALFREDO EGYDIO DE SOUZA ARANHA 100, SAO PAULO, D5, 04344-902

  - **Effective Date:** 10-29-2009

  - **Arrangement:** Custodian in Brazil

- **Name:** NATIONAL AUSTRALIA BANK, MELBOURNE

  - **Address:** NATIONAL AUSTRALIA BANK LTD, LEVEL 22, 500 BOURKE STREET, MELBOURNE, C3, VIC 3000

  - **Effective Date:** 02-17-2010

  - **Arrangement:** AUD cash correspondent

- **Name:** NOMURA SECURTIES CO, LTD

  - **Address:** NOMURA HOLDINGS INC, 1-13-1 Nihonbashi, Chuo-ku, Tokyo, M0, 103-8645

  - **Effective Date:** 10-22-1983

  - **Arrangement:** Custodian in Japan

- **Name:** NOMURA SECURITIES INTERNATIONAL, INC

  - **Address:** NOMURA SECURITIES INTERNATIONAL, 309 WEST 49TH STREET, NEW YORK, NY, 10019-7316

  - **Effective Date:** 11-30-2010

  - **Arrangement:** Custodian in US

- **Name:** RBC

  - **Address:** ROYAL BANK OF CANADA, 200 BAY STREET, TORONTO, A6, M5J 1J1

  - **Effective Date:** 02-06-1998

  - **Arrangement:** CAD custodian and cash correspondent

- **Name:** Skandinaviska Enskilda Banken AB (publ)

  - **Address:** SKANDINAVISKA ENSKILDA BANKEN AB (PUBL), STJARNTORGET 4, ARENASTADEN, V7, 00000

  - **Effective Date:** 03-08-2021

  - **Arrangement:** Custodian & cash correspondent in Nordics (Denmark, Norway, Finland, Sweden). Multiple sub-arrangements exist - provider shown at an aggregated level.

- **Name:** SOCIETE GENERALE

  - **Address:** SOCIETE GENERALE MAROCAINE DE BANQUES, 55 BOULEVARD ABDELMOUMEN, CASABLANCA, P2, 20100

  - **Effective Date:** 06-17-2008

  - **Arrangement:** Custodian in Morocco, Ivory Coast. Multiple sub-arrangements exist - provider shown at an aggregated level.

- **Name:** STANBIC BK

  - **Address:** STANBIC IBTC BANK PLC, I.B.T.C. PLACE, WALTER CARRINGTON CRESCENT, VICTORIA ISL, LAGOS, Q5, 00000

  - **Effective Date:** 09-27-2001

  - **Arrangement:** Custodian in Nigeria

- **Name:** STANDARD BANK

  - **Address:** THE STANDARD BANK OF SOUTH AFRICA LTD, STANDARD BANK CTR 1ST FLR, 5 SIMMONDS ST, JOHANNESBURG, T3, 2001

  - **Effective Date:** 03-15-1996

  - **Arrangement:** ZAR cash correspondent

- **Name:** STANDARD CHARTERED

  - **Address:** STANDARD CHARTERED PLC, 1 BASINGHALL AVENUE, LONDON, X0, EC2V 5DD

  - **Effective Date:** 07-31-1998

  - **Arrangement:** SGD cash correspondent; custodian in Emerging markets (including Pakistan, Botswana, Uganda, Ghana, Kenya, Zambia). Multiple sub-arrangements exist - provider shown at an aggregated level.

- **Name:** UBS GROUP AG

  - **Address:** UBS SWITZERLAND AG, BAHNHOFSTRASSE 45, ZURICH, V8, 8001

  - **Effective Date:** 02-18-2010

  - **Arrangement:** CHF cash correspondent

- **Name:** UNICREDIT BANK

  - **Address:** UNICREDIT S.P.A, PIAZZA GAE AULENTI 3, TOWER A, MILAN, L6, 20154

  - **Effective Date:** 10-18-2001

  - **Arrangement:** RUB cash correspondent, custodian in Czech Republic. Multiple sub-arrangements exist - provider shown at an aggregated level.

- **Name:** ZAGREB BANK

  - **Address:** ZAGREBACKA BANKA D.D., SAVSKA 62, ZAGREB, 1M, 10000

  - **Effective Date:** 10-09-1996

  - **Arrangement:** Custodian in Croatia.

- **Name:** Nomura Financial Products Europe GmbH

  - **Address:** Rathenauplatz 1, Frankfurt am Main, 2M, 60313

  - **Effective Date:** 02-14-2019

  - **Arrangement:** Arrangement in place covering trading and execution of the applicant by designated APs.

- **Name:** Nomura Global Financial Products Inc

  - **Address:** Worldwide Plaza 309 West 49th Street, New York, NY, 10019-7316

  - **Effective Date:** 03-04-2016

  - **Arrangement:** Arrangement in place covering trading and execution of the applicant by designated APs.

- **Name:** Nomura Securities Co., Ltd.

  - **Address:** 1-13-1 Nihonbashi, Chuo-ku, Tokyo, M0, 103-8011

  - **Effective Date:** 03-04-2016

  - **Arrangement:** Arrangement in place covering trading and execution of the applicant by designated APs.

- **Name:** Nomura Securities International, Inc.

  - **Address:** Worldwide Plaza 309 West 49th Street, New York, NY, 10019-7316

  - **Effective Date:** 03-04-2016

  - **Arrangement:** Arrangement in place covering trading and execution of the applicant by designated APs.

- **Name:** Nomura International (Hong Kong) Ltd

  - **Address:** 30/F, Two International Finance Centre, 8 Finance Street, Central, K3, 00000

  - **Effective Date:** 03-04-2016

  - **Arrangement:** Arrangement in place covering trading and execution of the applicant by designated APs.

- **Name:** Nomura Singapore Limited

  - **Address:** 10 Marina Blvd, Marina Bay Financial Ctr, Tower 2, #36-01, Singapore, U0, 018983

  - **Effective Date:** 03-04-2016

  - **Arrangement:** Arrangement in place covering trading and execution of the applicant by designated APs.

- **Name:** Nomura Investments (Singapore) Pte. Ltd.

  - **Address:** 10 Marina Blvd, Marina Bay Financial Ctr, Tower 2, #36-01, Singapore, U0, 018983

  - **Effective Date:** 10-19-2021

  - **Arrangement:** Arrangement in place covering trading and execution of the applicant by designated APs.

- **Name:** Nomura Special Investments Singapore Pte Ltd

  - **Address:** 10 Marina Blvd, Marina Bay Financial Ctr, Tower 2, #36-01, Singapore, U0, 018983

  - **Effective Date:** 10-19-2021

  - **Arrangement:** Arrangement in place covering trading and execution of the applicant by designated APs.

- **Name:** Nomura Bank (Switzerland) Ltd

  - **Address:** Kasernenstrasse 1, Zurich, V8, 8004

  - **Effective Date:** 03-25-2021

  - **Arrangement:** Arrangement in place covering trading and execution of the applicant by designated APs.

- **Name:** Nomura Financial Investment (Korea) Co., Ltd.

  - **Address:** 17th FL, Seoul Finance Center, 136 Sejong-daero, Jung-gu, Seoul, M5, 04520

  - **Effective Date:** 10-12-2021

  - **Arrangement:** Arrangement in place covering trading and execution of the applicant by designated APs.

- **Name:** Nomura Structured Finance Services Private Limited

  - **Address:** Nomura Building Off High Street, Hiranandani Business Park, Powai, Mumbai, K7, 400 076

  - **Effective Date:** 10-13-2008

  - **Arrangement:** Arrangement in place covering trading and execution of the applicant by designated APs.

**Controlling Entity:**

- **Name:** Nomura Europe Holdings plc

  - **Address:** 1 Angel Lane, London, X0, EC4R 3AB

  - **Effective Date:** 03-30-1999

  - **Arrangement:** By virtue of the applicant being a 100% owned subsidiary of Nomura Europe Holdings plc (NEHS), NEHS sets the overall strategy for its group entities but it is up to the individual Boards to ensure the strategy is appropriate for the individual company and to implement it. The applicant has delegated certain matters to the NEHS board level committees, however, any applicant-specific matters to the applicant's Board and any related decisions required are made by that Board. When a committee makes any recommendation it is always clear to which Board they are recommending the requisite approval.

- **Name:** Nomura Holdings, Inc

  - **Address:** 1 13-1 Nihonbashi 1 Chome Chuo-Ku, Tokyo, M0, 103-8645

  - **Effective Date:** 03-30-1999

  - **Arrangement:** By virtue of being part of the Nomura Group (applicant is 100% owned subsidiary of Nomura Europe Holdings plc which is a 100% owned subsidiary of Nomura Holdings, Inc), the applicant will operate within group risk appetite and policy frameworks, adapted to adhere to local requirements as appropriate.

### Execution

**Date:** 09-26-2025

**Name of Applicant:** NOMURA INTERNATIONAL PLC

**Signature:** /s/ Jonathan Stone

**Printed Name:** Jonathan Stone

**Title:** Head of Compliance