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 Sally McAllister 44 20 710 23363 sally.mcallister@nomura.com Jonathan Peter Stone 44 20 710 22339 jonathan.stone@nomura.com 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 16 N NOMURA INTERNATIONAL PLC 264077 Aisling Maire Doyle Head of Business Unit, Division or Function 01/2021 09/2020 N 539833 Jonathan Peter Stone Chief Compliance Officer 11/2023 10/2017 N 559582 John Gerard Mary Tierney Chief Executive Officer 05/2017 10/2015 N 492211 Leigh Andrew Cleasby Head of Business Unit, Division or Function 11/2024 05/2007 N 567256 Aubrey Richard Lomas Head of Business Unit, Division or Function 11/2024 04/2004 N 567278 Martin Butler Director 09/2024 09/2024 N 454869 Neeta Avnash, Kaur Atkar Director 03/2018 03/2018 N 515721 Patrice Maffre Director 05/2023 08/2006 N 555765 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 Shogo Ohira Director 05/2026 04/1997 N 577952 Naoyuki Oguri Director 01/2022 09/2021 N 543640 Magnus Henry Peter Falk Director 03/2023 03/2023 N 555174 Nathaniel James Tyce Head of Business Unit, Division or Function 10/2023 05/2023 N 497961 Thomas Whinfield Scholar Director 01/2024 01/2024 N 560016 Debra Davies Director 09/2025 09/2025 N 550108 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 Books and records relating to activity by designated APs. 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 Books and records relating to activity by designated APs. Item 13A Nomura Securities Co., Ltd. 002-36046 0422404 XPSKD1VTEQPKCHBEKQ95 1-13-1 Nihonbashi, Chuo-ku Tokyo M0 103-8011 03-04-2016 Books and records relating to activity by designated APs. 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 Books and records relating to activity by designated APs. Item 13A Nomura International (Hong Kong) Ltd 0520144 549300228WV14OKZYD84 30/F, Two International Finance Centre 8 Finance Street Central K3 00000 03-04-2016 Books and records relating to activity by designated APs. Item 13A Nomura Singapore Limited 5493002W629SO69TA530 10 Marina Blvd, Marina Bay Financial Ctr Tower 2, #36-01 Singapore U0 018983 03-04-2016 Books and records relating to activity by designated APs. Item 13A Nomura Investments (Singapore) Pte. Ltd. 549300S6ONUHIO7CPV56 10 Marina Blvd, Marina Bay Financial Ctr Tower 2, #36-01 Singapore U0 018983 10-19-2021 Books and records relating to activity by designated APs. Item 13A Nomura Special Investments Singapore Pte Ltd 5493002GOUSAKI4HLJ49 10 Marina Blvd, Marina Bay Financial Ctr Tower 2, #36-01 Singapore U0 018983 10-19-2021 Books and records relating to activity by designated APs. Item 13A Nomura Bank (Switzerland) Ltd 549300FPTTLE2R9UEE81 Kasernenstrasse 1 Zurich V8 8004 03-25-2021 Books and records relating to activity by designated APs. Item 13A Nomura Australia Limited 549300W23MQR2V0LXU65 Level 41, Governor Phillip Tower 1 Farrer Place Sydney, N.S.W. C3 2000 03-04-2016 Books and records relating to activity by designated APs. Item 13A Nomura Financial Investment (Korea) Co., Ltd. 0491682 549300BYOD6JPDH1Y529 17th FL, Seoul Finance Center 136 Sejong-daero, Jung-gu Seoul M5 04520 10-12-2021 Books and records relating to activity by designated APs. Item 13A Nice Actimize 221 River St, 10th Floor Hoboken NJ 07030 03-31-2011 Books and records relating to counterparty identification and Know Your Client processes conducted by the applicant. Item 13A DTCC Derivatives Repository Ltd. 0001655167 55 Water Street New York NY 10041 11-24-2011 Books and records relating to trade affirmations and electronic confirmations for transactions executed by the applicant. Item 13A MarkitSERV Limited 549300FSLUWD8ETI2P24 London Fruit & Wool Exchange 1 Duval Square London X0 E1 6PW 04-08-2015 Books and records relating to trade affirmations and electronic confirmations for transactions executed by the applicant. Item 13A Nomura Structured Finance Services Private Limited 335800EMP7XAIJZHJX61 Nomura Building Off High Street Hiranandani Business Park, Powai Mumbai K7 400 076 10-13-2008 Books and records relating to activity by designated APs. Item 13A BANQUE NOMURA FRANCE 969500Q9WTBUFNINDC18 7 place d'Iena CEDEX 16 PARIS I0 75773 02-01-2023 Books and records relating to activity by designated APs. Item 13A INSTINET LLC 549300MGMN3RKMU8FT57 Worldwide Plaza, 309 West 49th Street New York NY 10013 01-03-2024 Books and records relating to activity by designated APs. Item 13B ABSA GROUP LIMITED SLI1CVYMJ21DST0Q8K25 ABSA BANK LTD ABSA BUILDING, 15 ALICE TOWN SANDTON T3 00000 03-02-2020 Custodian in South Africa Item 13B BANK LEUMI 7JDSZWRGUQY2DSTWCR57 BANK LEUMI LE ISRAEL B.M. 34 YEHUDA HALEVI STREET TEL AVIV L3 6513616 04-03-2000 Custodian in Israel 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 USD cash correspondent 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 NZD cash correspondent Item 13B BANQUE INTERNATIONALE ARABE DE TUNISIE 549300EZRO2TE67W7P49 BANQUE INTERNATIONALE ARABE DE TUNISIE 70-72 AV. HABIB BOURGUIBA, BP 520 TUNIS W6 1000 04-21-1998 Custodian in Tunisia Item 13B BARCLAYS G5GSEF7VJP5I7OUK5573 BARCLAYS BANK PLC 1 CHURCHILL PLACE LONDON X0 E14 5HP 07-20-1992 GBP cash correspondent Item 13B BNP PARIBAS Aggregated arrangement BNP PARIBAS SECURITIES SERVICES PARIS, 3 RUE D'ANTIN PARIS I0 75002 12-30-1996 Custodian in Germany, Italy, Austria, Greece, Portugal, Spain, Hungary, cash correspondent in HUF. Multiple sub-arrangements exist - provider shown at an aggregated level. Item 13B BONY MMYX0N4ZEZ13Z4XCG897 THE BANK OF NEW YORK MELLON 240 GREENWICH ST NEW YORK NY 10286 03-19-2009 Custodian in US Item 13B CITIBANK Aggregated arrangement CITIBANK N.A. 388 GREENWICH STREET NEW YORK NY 10013 08-19-1991 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. Item 13B DEUTSCHE BANK 7LTWFZYICNSX8D621K86 DEUTSCHE BANK MALAYSIA BERHAD LVL 18-20 MENARA IMC, 8 JALAN SULTAN ISMAIL KUALA LUMPUR N8 50250 08-13-2012 Custodian in Malaysia Item 13B EUROCLEAR 549300OZ46BRLZ8Y6F65 EUROCLEAR BANK S.A./N.V. 1 BOULEVARD DU ROI ALBERT II BRUSSELS C9 B-1210 06-29-1976 Custodian in France, Netherlands, Belgium Item 13B HSBC Aggregated arrangement HONGKONG AND SHANGHAI BANKING CORP LTD 1 QUEENS ROAD CENTRAL HONG KONG K3 00000 05-11-1998 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. Item 13B ING 3TK20IVIUJ8J3ZU0QE75 ING BANK SLASKI S.A. KATOWICE 34, SOKOLSKA ST. KATOWICE R9 40-086 05-07-2013 Custodian in Poland Item 13B ITAU BZO2P8KHO2O10H5QQ663 ITAU UNIBANCO S/A. PRACA ALFREDO EGYDIO DE SOUZA ARANHA 100 SAO PAULO D5 04344-902 10-29-2009 Custodian in Brazil Item 13B NATIONAL AUSTRALIA BANK, MELBOURNE F8SB4JFBSYQFRQEH3Z21 NATIONAL AUSTRALIA BANK LTD LEVEL 22, 500 BOURKE STREET MELBOURNE C3 VIC 3000 02-17-2010 AUD cash correspondent Item 13B NOMURA SECURTIES CO, LTD 002-36046 0422404 XPSKD1VTEQPKCHBEKQ95 NOMURA HOLDINGS INC 1-13-1 Nihonbashi, Chuo-ku Tokyo M0 103-8645 10-22-1983 Custodian in Japan Item 13B NOMURA SECURITIES INTERNATIONAL, INC 008-15255 0089946 OXTKY6Q8X53C9ILVV871 0000072267 NOMURA SECURITIES INTERNATIONAL 309 WEST 49TH STREET NEW YORK NY 10019-7316 11-30-2010 Custodian in US Item 13B RBC 5493002MUOV04NSPT571 ROYAL BANK OF CANADA 200 BAY STREET TORONTO A6 M5J 1J1 02-06-1998 CAD custodian and cash correspondent Item 13B Skandinaviska Enskilda Banken AB (publ) Aggregated arrangement SKANDINAVISKA ENSKILDA BANKEN AB (PUBL) STJARNTORGET 4 ARENASTADEN V7 00000 03-08-2021 Custodian & cash correspondent in Nordics (Denmark, Norway, Finland, Sweden). Multiple sub-arrangements exist - provider shown at an aggregated level. Item 13B SOCIETE GENERALE Aggregated arrangement SOCIETE GENERALE MAROCAINE DE BANQUES 55 BOULEVARD ABDELMOUMEN CASABLANCA P2 20100 06-17-2008 Custodian in Morocco, Ivory Coast. Multiple sub-arrangements exist - provider shown at an aggregated level. Item 13B STANBIC BK 549300HF45VBQ8L4HF36 STANBIC IBTC BANK PLC, I.B.T.C. PLACE WALTER CARRINGTON CRESCENT, VICTORIA ISL LAGOS Q5 00000 09-27-2001 Custodian in Nigeria Item 13B STANDARD BANK 2549003PEZXUT7MDBU41 THE STANDARD BANK OF SOUTH AFRICA LTD STANDARD BANK CTR 1ST FLR, 5 SIMMONDS ST JOHANNESBURG T3 2001 03-15-1996 ZAR cash correspondent Item 13B STANDARD CHARTERED Aggregated arrangement STANDARD CHARTERED PLC 1 BASINGHALL AVENUE LONDON X0 EC2V 5DD 07-31-1998 SGD cash correspondent; custodian in Emerging markets (including Pakistan, Botswana, Uganda, Ghana, Kenya, Zambia). Multiple sub-arrangements exist - provider shown at an aggregated level. Item 13B UBS GROUP AG BFM8T61CT2L1QCEMIK50 UBS SWITZERLAND AG BAHNHOFSTRASSE 45 ZURICH V8 8001 02-18-2010 CHF cash correspondent Item 13B UNICREDIT BANK Aggregated arrangement UNICREDIT S.P.A PIAZZA GAE AULENTI 3, TOWER A MILAN L6 20154 10-18-2001 RUB cash correspondent, custodian in Czech Republic. Multiple sub-arrangements exist - provider shown at an aggregated level. Item 13B ZAGREB BANK PRNXTNXHBI0TSY1V8P17 ZAGREBACKA BANKA D.D. SAVSKA 62 ZAGREB 1M 10000 10-09-1996 Custodian in Croatia. Item 13B Nomura Financial Products Europe GmbH 5493002XYZZ0CGQ6CB58 Rathenauplatz 1 Frankfurt am Main 2M 60313 02-14-2019 Arrangement in place covering trading and execution of the applicant by designated APs. Item 13B Nomura Global Financial Products Inc 008-69208 0443849 0Z3VO5H2G7GRS05BHJ91 0001564206 Worldwide Plaza 309 West 49th Street New York NY 10019-7316 03-04-2016 Arrangement in place covering trading and execution of the applicant by designated APs. Item 13B Nomura Securities Co., Ltd. 002-36046 0422404 XPSKD1VTEQPKCHBEKQ95 1-13-1 Nihonbashi, Chuo-ku Tokyo M0 103-8011 03-04-2016 Arrangement in place covering trading and execution of the applicant by designated APs. Item 13B Nomura Securities International, Inc. 008-15255 0089946 OXTKY6Q8X53C9ILVV871 0000072267 Worldwide Plaza 309 West 49th Street New York NY 10019-7316 03-04-2016 Arrangement in place covering trading and execution of the applicant by designated APs. Item 13B Nomura International (Hong Kong) Ltd 0520144 549300228WV14OKZYD84 30/F, Two International Finance Centre 8 Finance Street Central K3 00000 03-04-2016 Arrangement in place covering trading and execution of the applicant by designated APs. Item 13B Nomura Singapore Limited 5493002W629SO69TA530 10 Marina Blvd, Marina Bay Financial Ctr Tower 2, #36-01 Singapore U0 018983 03-04-2016 Arrangement in place covering trading and execution of the applicant by designated APs. Item 13B Nomura Investments (Singapore) Pte. Ltd. 549300S6ONUHIO7CPV56 10 Marina Blvd, Marina Bay Financial Ctr Tower 2, #36-01 Singapore U0 018983 10-19-2021 Arrangement in place covering trading and execution of the applicant by designated APs. Item 13B Nomura Special Investments Singapore Pte Ltd 5493002GOUSAKI4HLJ49 10 Marina Blvd, Marina Bay Financial Ctr Tower 2, #36-01 Singapore U0 018983 10-19-2021 Arrangement in place covering trading and execution of the applicant by designated APs. Item 13B Nomura Bank (Switzerland) Ltd 549300FPTTLE2R9UEE81 Kasernenstrasse 1 Zurich V8 8004 03-25-2021 Arrangement in place covering trading and execution of the applicant by designated APs. Item 13B Nomura Financial Investment (Korea) Co., Ltd. 0491682 549300BYOD6JPDH1Y529 17th FL, Seoul Finance Center 136 Sejong-daero, Jung-gu Seoul M5 04520 10-12-2021 Arrangement in place covering trading and execution of the applicant by designated APs. Item 13B Nomura Structured Finance Services Private Limited 335800EMP7XAIJZHJX61 Nomura Building Off High Street Hiranandani Business Park, Powai Mumbai K7 400 076 10-13-2008 Arrangement in place covering trading and execution of the applicant by designated APs. Item 14 Nomura Europe Holdings plc 0455943 549300IU15NXFPV2FC82 1 Angel Lane London X0 EC4R 3AB 03-30-1999 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. Item 14 Nomura Holdings, Inc 0235033 549300B3CEAHYG7K8164 0001163653 1 13-1 Nihonbashi 1 Chome Chuo-Ku Tokyo M0 103-8645 03-30-1999 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. 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 12-18-2023 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 06-03-2026 NOMURA INTERNATIONAL PLC /s/ Jonathan Stone Jonathan Stone Head of Compliance