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Message from the President & CEO

Ever since our foundation in 1918 as Kawashimaya Shoten, SMBC Nikko has over the past 100

years been supported by many clients and we have grown together with our clients.

Since October 2009 when we joined the Sumitomo Mitsui Financial Group, we have been

redoubling our efforts to further improve our ability to assist our clients, both individuals and

corporates, and to enhance our capabilities as an integrated securities company.

The environment surrounding our clients, society overall and our firm is changing dramatically.

Japan is said to enter the era of the 100-year life and all over the world, politics and economies

are being presented with various challenges such as a backlash against globalization as well as

fundamental structural changes. Also, the advancement of technology and digitization is bringing

about big changes to people’s lifestyles.

In these transformational times, our vision remains to grow with our clients and be their trusted

advisor. “Share the Future” is our brand slogan and we will continue providing convenient,

customer-oriented transaction channels and high-quality products and services.

We connect via the capital markets companies seeking sustainable growth with investors looking

for companies’ growth, and facilitate the efficient and productive flow of capital, thereby

contributing to the realization of fulfilled livelihoods and a prosperous society; this is our social

mission as an integrated securities company.

Since our establishment, we have treasured our founder’s spirit – “co-existence and co-prosperity

with clients” and “being kind and honest” – which is guiding our employees as they engage with

the capital markets, at times a source of great risks, in pursuit of maintaining and building a

trusting relationship with our clients and society.

As a firm of financial professionals, we will strive to act in the best interest of our clients by

leveraging our experience of managing a diversity of risks and delivering innovative financial

services.

In closing, I would like to express our sincere appreciation to our clients for choosing SMBC

Nikko.

Yuichiro KondoPresident & CEO

2

3

Management Philosophy

To provide higher value, based on a customer-first principle.

To seek to be a company that grows together with our customers,and inspires their supreme trust.

To fulfill a role as a sound financial intermediary in order to contribute to the development of both capital markets and our society.

To create a work environment in which each employee demonstrates individualityunder a sense of unity, while respecting diversity.

Brand Statement

In a radically changing worldwhere tomorrow is unclear,

it is very reassuring to have a partner withwhom you can take on new challenges.

SMBC Nikko Securities aimsto be that partner for our clients.

We constantly put the needsand desires of our customers first.

We share the future with all of our clients,whether they are individuals looking to build

assets or corporations aiming to expand globally.We aim to be a partner who works side-by-sidewith our clients on every step of their journey.

We are combing the strengths ofour securities and banking operations to create

enhanced value for our clients that onlySMBC Nikko Securities can deliver.

Let’s discuss tomorrow and share in the future.We are proud to provide support and assistance

to everyone who is looking to take on a challenge. We are SMBC Nikko Securities.

Brand Slogan

4

History: Our footsteps over 100 years

We have served clients for almost 100 years, marking the 100th anniversary of the launch of our service in July 1918 under the trade name of Kawashimaya Shoten. We made a fresh start in October 2009 as a member of Sumitomo Mitsui Financial Group. As the core securities company in the full-line financial group, we will provide high-quality financial products and services to our clients.

5

1918 July Kawashimaya Shoten founded1920 April Reorganized as Kawashimaya Shoten Co., Ltd. June The former Nikko Securities Co., Ltd. established1939 February The former Kawashimaya Securities Co., Ltd. established1943 September The former Kawashimaya Securities Co., Ltd. and Kawashimaya Shoten Co., Ltd. merged and

name changed to Kawashimaya Securities Co., Ltd.1944 April The former Nikko Securities Co., Ltd. and Kawashimaya Securities Co., Ltd. merged and Nikko

Securities Co., Ltd. established1948 November Registered as a securities business under the Securities Exchange Law1949 April Became an official member of Tokyo Stock Exchange, Osaka Securities Exchange, and Nagoya

Stock Exchange1951 June Completed registration as a Settlor Company of an Investment Trust under the Act on

Investment Trusts and Investment Corporations1961 October Listed its shares on the second sections of the Tokyo Stock Exchange, Osaka Securities Exchange,

and Nagoya Stock Exchange1970 February Listed its shares on the first sections of the Tokyo Stock Exchange, Osaka Securities Exchange,

and Nagoya Stock Exchange (delisted in January 2008 when the Company became a wholly-owned subsidiary of Citigroup)1999 March Nikko Salomon Smith Barney Limited (later to become Nikko Citigroup Limited), an

investment banking joint venture with Citigroup, started operations2001 March Nikko Securities De-merger Preparatory Company established October Nikko Securities De-merger Preparatory Company took over the entire securities business and

other operations from The Nikko Securities Co., Ltd. and changed its name to Nikko Cordial Securities Inc.

The Nikko Securities Co., Ltd. was renamed Nikko Cordial Corporation as a holding company.2007 May Became Citigroup’s subsidiary through the tender offer of Nikko Cordial Corporation (later becoming a wholly-owned subsidiary through a triangular share exchange) September Registered Type I and Type II Financial Instruments Business, and Investment Advisory and

Agency Business under the newly enforced Financial Instruments & Exchange Act.2008 January Registered Investment Management Business under the Financial Instruments & Exchange Act2009 June Nikko Cordial Securities De-merger Preparatory Company Ltd. established October Nikko Cordial Securities De-merger Preparatory Company Ltd. took over all of the operations

from the former Nikko Cordial Securities Inc. and a certain businesses of Nikko Citigroup Limited and was renamed Nikko Cordial Securities Inc.

Became a member of Sumitomo Mitsui Financial Group upon the transfer of shares to Sumitomo Mitsui Banking Corporation

2011 April Nikko Cordial Securities Inc. changed its name to SMBC Nikko Securities Inc.

SMBC Nikko Securities provides clientswith full-line financial servicesand high value-added solutionsto meet the varied needs of our clients.

6

Over approximately 100 years since its foundation in July 1918, SMBC Nikko Securities has developed solid relationships of trust with individual and corporate clients.

With the expertise and solid client base developed over many years, SMBC Nikko Securities is now in a position to collaborate with Sumitomo Mitsui Banking Corporation, which has a huge business network and high credibility, by becoming a member of the Sumitomo Mitsui Financial Group in 2009.

In both the retail and wholesale business areas, we will pursue business opportunities through integrated banking-securities services and offer advanced financial services based on our comprehensive capabilities. Additionally, under strategic alliance agreements with Moelis & Company,* Citigroup, etc., we will continue to leverage their global business networks and resources.

* Moelis & Company is a global independent investment bank based in the United States that provides financial advisory on M&As, etc., capital raising and asset management services to a broad client base including corporations, institutional investors, and government agencies. With more than 650 professionals, Moelis serves its clients through 17 offices worldwide including New York, London, Paris, Frankfurt, Dubai, Mumbai, Beijing, Hong Kong, Sydney, and Sao Paulo.

(As of April 30, 2016)

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For individual clients, we deliver high-quality consulting services at our 123 branches nationwide to accommodate diversified asset management needs. We offer the following two types of investment courses for a variety of products and services to meet clients’ diverse needs: Under the “General Course,” clients can receive professional advice and information on investment as well as face-to-face consulting services from assigned representatives at branches, whereas the “Direct Course” allows clients trade equities on-line or through call center services on a discounted brokerage commission.

For corporate clients, we have set up dedicated divisions according to business type in order to best meet clients’ specific business needs. Those designated divisions strive to provide corporations, financial institutions, public-service corporations, local public authorities, government organizations or any type of wholesale clients with higher value delivered through teamwork across products, regions and divisions.

Outline of the Business

8

In the investment banking business, our professional staff offers M&A and financing solutions to powerfully support corporate clients in this era of globalization.

In providing financial products and market-related services, we offer trading functions and product development capabilities to accommodate the various needs of our clients including institutional investors.

Our research service is a platform on which we offer quality information based on our proprietary research by Financial Market & Economic Research Division, mainly engaging in the bond and foreign exchange markets, and Equity Research Division, mainly engaging in the equity markets. Each division provides investors both in Japan and abroad with information from various viewpoints based on their original forecasts derived from precise analysis.

In overseas markets, SMBC Nikko Capital Markets and SMBC Nikko Securities America, provide financial services including underwriting, sales and trading of equities and bonds, cross-border M&A advisory, arrangements for IR conferences. In addition, SMBC Nikko Securities (Hong Kong) and SMBC Nikko Securities (Singapore) provide Japanese equity broking and M&A advisory services, and SMBC Nikko Investment Consulting (Shanghai) offers M&A advisory-related services. These overseas arms, together with other subsidiaries and affiliates, offer high quality financial services to clients on a global basis.

To accommodate the diversifying needs of our clients, we are committed to providing a wider range of high value-added financial products, services and solutions with the aim of remaining as a long-term strategic partner for clients.

Shanghai

Jakarta

Sydney

Hong Kong

Singapore

LuxembourgLondon

New YorkSan Francisco

SMBC Nikko Capital Markets

Nikko Securities Indonesia

SMBC Nikko Bank (Luxembourg)

SMBC Nikko Investment Fund Management Company

SMBC NikkoInvestment Consulting

(Shanghai)

SMBC Nikko SecuritiesAmerica

(San Francisco Branch)

SMBC Nikko SecuritiesAmerica

SMBC Nikko Securities(Singapore)

SMBC Nikko Securities (Hong Kong)

SMBC Nikko Capital Markets(Sydney Office)

9

Our Services to ClientsSMBC Nikko Securities provides high-quality consulting services and solutions

in collaboration across dedicated divisions to respond to our clients’ needs.

10

We have established a service network for clients based on our 123 branches nationwide. We offer various

financial products, including equities, bonds, investment trusts, annuity and insurance products, and Nikko

Fund Wrap, a custom-made asset management service. We aim to be the best partner for clients in asset

management with high-quality consulting services by meeting their investment purposes and risk appetite.

● Branches

Our 123 branches nationwide provide visiting

clients with various services that meet their needs,

including asset management consulting services,

account startups, and administrative procedures.

Each branch has a consulting service office to

secure privacy where clients can consult at ease

on asset management.

● Call Centers

At the Nikko Contact Center, which received

high evaluations from third-party organizations*,

dedicated operators handle orders for transactions

and respond to inquiries from clients to facilitate

the use of the system and make it more convenient.

● On-line Trading

We have upgraded Nikko EZ Trade so that

clients can trade more comfortably at their own

convenience while having access to a variety

of financial products and abundant sources of

investment information.

In addition, we are improving our system under

which assigned staff provide support for clients in

cooperation with professional teams, such as the

Equity Advice Center and the Financial Products

Support Service Center, in response to their needs.

This multiple support structure is unique to SMBC

Nikko Securities.

・ Three-Star Prize, the highest evaluation, in the “HDI Inquiry Desk ratings/Support Portal” survey.

・ Three-Star Prize in the Customer Contact Center sector, the only company in Japan to receive it for the 10th consecutive year (from 2006 to 2015).

・ Certification received as the first financial institution in Japan under the “HDI Support Center International Certification Program.” (2016)

・ Won an award in the National Corporate Telephone Service Contest for the 11th consecutive year (from 2005 to 2015).

・ Won an award in the Corporate Telephone Manners Contest as the only company to receive one for the 7th consecutive year (from 2009 to 2015).

・ Won the Gold Rank Company Award as the only certified company in Japan to receive it for the third consecutive year (from 2013 to 2015).

・ CRM Best Practice Award as the only company in Japan to receive it for the 8th consecutive year (from 2008 to 2015)

・ Won the Best Contact Center of The Year award for the 4th consecutive year (from 2010 to 2013).

・ Won the Best Customer Support of the Year Award for the 2nd consecutive year (from 2014 to 2015).

・ Won the gold prize in the Contact Center World Awards as the first Japanese company to receive it in two sectors: the Best Outbound Campaign and the Sales Campaign (2014).

・ Won the Gold Prize in five sectors of the Contact Center World Awards, Asia-Pacific, as the first Japanese company (2016).

・ Obtained certification for COPC® CSP standards (from 2008 to 2015)

Retail Sales Network

* Evaluations received from third-party organizations (some examples only)

Versatile Support Structureto Meet Various Needs of Individual Clients

We offer three transaction channels available at our clients’ convenience.

Clients On-line tradingCall center

Retail sales network

Support by sales divisions and branches and specialized sections

123 branches nationwide

Equity Advice CenterFinancial Products Support Service Center

Nikko EZ TradeNikko Contact Center

For Individual Clients

11

For Business Owners and Executivesand Employees of Corporations

Our private banking business focuses on offering

consulting services to clients including owners of

listed companies as well as their family members.

Owners of listed companies are not only

wealthy individuals but also investors. To meet

their diverse needs, we exert our utmost efforts to

become their one and only partner by providing

solutions to asset management and capital

policies.

We prov ide execut ives and employees of

listed companies, etc. with proposals on asset

management and inheritance in accordance with

clients’ life stage and risk tolerance during their

service years and after retirement, respectively. Our

proposals also include advice on making the best

management of the company’s shares purchased

through employee shareholding association, stock

options.

Private Banking

Workplace Sales

12

For Corporate Clients

After grasping their priorities and potential needs, we

provide comprehensive solutions to corporate clients such

as listed corporations and financial institutions based on our

great deal of experience, market knowledge, and a variety

of financial products and services in close cooperation with

financial product divisions and investment banking divisions.

To respond to clients’ needs for various matters including

financing, fund management, and employee benefits, we

will offer strategic securities business based on a solid

relationship of trust with clients.

We also offer our clients a window to globally advanced

corporate management and asset management through

the provision of market information and invitation to various

seminars.

For clients of non-public companies, we provide all the

support they need until they go public, including guidance

and advice for initial public offering and suggestions about

capital policy, group strategy, and information disclosure.

We also offer solutions including M&A to increase clients’

share value, preserve their assets, and transfer their

businesses in a stable manner.

We offer public-service corporations, local public authorities

and government organizations or any other public-sector

clients, a wide range of consulting services based on our

abundant experience. Our services include the following:

Underwriting of bonds; providing materials that support

clients’ asset management; organizing seminars for learning

the basics, practice and application of asset management;

providing market information prepared in cooperation with

experts of specialized divisions and independent institutions,

giving advice on the formulation of, and amendments to,

the asset management policy by taking into consideration

the requests of the client; and portfolio analysis service by

using NBA (Nikko Bond Analysis), our asset management

and analysis system. We also hold seminars for national

public-service corporations and non-taxable corporations

on the relevant regulations, accounting, finance and

management in cooperation with the competent authorities

and independent professional organizations.

Corporations and Financial Institutions

Non-public Corporate Clients

Public Institutions

13

Investment BankingWe offer corporate clients M&A and financing solutions

to support their business strategies in the era of globalization.

14

We provide advice on M&As as an important

s o lu t i on i n bu s ine s s s t r a te g y, i nc lu d ing

acquisitions, mergers, divestitures, capital and

business alliances, and business restructurings to

accommodate each client’s needs. Specifically, we

support all major steps in M&A: proposal of M&A,

business valuation, due diligence, preparation of

contracts, and closing procedures. Based on the

feasibility study identifying the key concerns, such

as related laws and systems, industry trends, the

business environment, and the global situation, we

form a specialist team that includes staff who are

fully conversant with the relevant industry and M&A

advisory operations to offer the most appropriate

advice to clients.

To respond to financing needs identified to achieve

long-term business targets, we offer various direct

financing solutions, centering on the underwriting

newly issued shares of initial public offerings and

secondary public offerings as well as various bonds,

and securitization of owned assets. We provide all

major types of services related to financing ranging

from making a proposal for optimal fundraising

schemes and marketing management for investors,

fixing optimal terms and conditions of the issuance,

to documentation, etc.

In the investment banking business, we focus on corporate clients, offering them optimal solutions to meet their various needs and the market environments they operate in. We have developed a structure consisting mainly of experts with excellent track records in the financial industry in terms of M&A and corporate financing to provide services to support companies both in Japan and abroad by leveraging our business knowledge accumulated through our wide-range of experience.

As a good business partner capable of strongly supporting our corporate clients, we will continue to provide high value-added services by making full use of the network that only the Sumitomo Mitsui Financial Group can leverage.

M&A Advisory

Underwriting Equities and Bonds

As a Partner for Executing Business Strategy

15

Financial ProductsWe will respond to diversified clients’ needs with our high-quality trading capability

as well as financial product development capability.

16

Asset management products

Investment trusts Insurance Wrap account

Globally balancedGlobal equityDomestic equityGlobal bondDomestic bondAlternative funds

Variable annuity Fixed annuityForeign-currencyannuityVariable permanentinsuranceFixed permanentinsuranceBusiness insurance

Service of composingan appropriate Custom-made portfolio, etc.

We provide comprehensive services and products

to clients through our global network. We have

established systems for providing execution

services capable of responding to clients’ various

needs, trading systems using state-of-the-art

technologies, and system for providing quality

research information. We meet clients’ various

needs by offering not only equity products, but

also an extensive lineup of high quality derivative

products.

Our bond trading business is based on our

comprehensive strengths represented by a

high capability to structure debt products, offer

attractive primary products, and deliver timely and

proper research information, which are offered to

our clients for their investment. Meanwhile, we also

offer financial solutions to satisfy clients’ diversified

investment needs by engineering and providing

various derivative products as well as embedded

derivative products such as structured notes, and

securitized products.

We offer asset management products such as

investment trust, insurance, fund wraps. We

allocate specialists with expertise and aim to

expand the lineup of innovative products based

on the current market trends and clients’ needs.

Under our best product policy, we offer clients new

options for internationally diversified investment.

Equities

Bonds

Asset Management Products

17

ResearchWe provide high value-added information

to support our clients’ investment strategies.

Based on our multifaceted analysis of the rapidly-

changing global economy and market trends, we

deliver the latest information swiftly and in an easy-

to-understand manner. We have received high

recognition from investors as indicated in the high

position of our independent analyst rankings. In

addition to analyses of the domestic and global

macro economy and foreign exchange markets,

with respect to fixed income products, we provide

clients with various kinds of information on the

analysis of domestic and overseas bond markets,

and credit reports on domestic corporate bond

issuers as well as foreign bond (Samurai bond)

issuers. Regarding information on equities, in

addition to information on the stock market in

general, our coverage, which is one of the most

extensive in the industry, allows us to provide

investors both in Japan and abroad with quality

information on revenue trends as well as share

price movements by the categories of individual

stocks and industry.

18

We have implemented various joint operational initiatives with SMBC as a member of the Sumitomo Mitsui Financial Group.

Banking-securities Collaboration with Sumitomo Mitsui Banking Corporation (SMBC)

SMBC Nikko Securities, as a Financial Instruments

Specialist entrusted by SMBC, provides SMBC

with a rich variety of our infrastructure facilities for

financial products and securities trading. Through

SMBC’s network, we provide corporate and

individual clients with products and services suited

to their asset management needs.

Financial Product Intermediary Service

SMBC Nikko Secur i t ies and SMBC prov ide

appropriate products and services as a group by

referring clients to each other according to clients’

needs. SMBC Nikko Securities provides various

financial products and services to clients referred

by SMBC, while SMBC provides various banking

products and services to clients referred by SMBC

Nikko Securities.

Client Referral

“Banking-securities Asset Building Set” refers to a

service to provide clients who purchased specified

financial products from SMBC Nikko Securities for

more than a certain amount with special interest rate

for time deposits at SMBC. Through this service, we

accommodate clients’ diversified needs for steady

asset building along with asset management at

SMBC Nikko Securities.

Banking-securities Asset Building Set

“Bank & Trade” is an online service connecting a

client’s general securities account at SMBC Nikko

Securities with his/her ordinary deposit account at

SMBC for their convenience. This service allows

a client to check the balances in the accounts of

both SMBC Nikko Securities and SMBC on a single

screen on a real-time basis and immediately transfer

cash from a bank account to a securities account.

Bank & Trade

ATMs have been installed at our Main Branch, and

as well as at such major branches as Ikebukuro,

Sendai, Nagoya, Osaka and Kobe, allowing clients to

process transaction with both SMBC’s bank cards

and Nikko cards.

Installation of SMBC’s ATMs at Branches of SMBC Nikko Securities

Since July 2010, we have collaborated with SMBC

and Barclays Bank and started to provide our clients

referred by SMBC with an Investment Solution

Service developed through leveraging sophisticated

knowledge and functions of Barclays’ world-class

asset management team.

Business forHigh-Net-Worth Individuals

SMBC Nikko Capital Markets in the UK and SMBC

Nikko Securities America in the U.S. both collaborate

with SMBC’s global network to jointly provide

services including underwriting of equities and

bonds, cross-border M&A advisory, and structured

finance. In the overseas markets, SMBC Nikko

Securities properly accommodate clients’ financial

needs.

Expansion of Securities Business Overseas

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【東海地区】【近畿圏】

【九州地区】【その他部室店】

ＳＭＢＣ日興証券と三井住友銀行との情報共有同意書をご提出いただいており、かつ、以下のいずれかにあてはまる個人のお客さま①三井住友銀行がＳＭＢＣ日興証券へ紹介したお客さま ②ＳＭＢＣ日興証券と三井住友銀行が①とみなしたお客さま③ＳＭＢＣ日興証券指定の取扱部室店（＊）にてお取引があるお客さま※三井住友銀行金融商品仲介、バンク＆トレード、三井住友銀行 日興支店に係る、情報共有同意書は対象外です。※ＳＭＢＣ日興証券のダイレクトコースでお取引いただいているお客さまは対象外です。

・株式投資信託（上場投資信託は除く）・外国債券（外貨建て債券、海外で発行される債券、海外の発行体が日本国内で発行する債券）※平成２8年１月２９日約定以降のお取引が対象となります。※ＮＩＳＡ口座・ジュニアNISA口座・払出し制限付き課税口座でのご購入、および三井住友銀行金融商品仲介口座でのご購入、投信つみたてプランでのご購入、株式投資信託のスイッチングによるご購入、日興ファンドラップ一任型のご購入、日興ＳＭＡのご購入は対象外となります。※対象となる商品の詳細につきましてはＳＭＢＣ日興証券のお取引店へお問い合わせください。

対象商品

対象商品の購入金額以下（１００万円以上、１円単位）預入金額

・対象商品を５００万円以上ご購入いただいた場合に『特別金利定期預金プレミアムクーポン』を発行いたします。対象商品を同一約定日に複数ご購入される場合は、購入金額を合算します。・株式投資信託の購入金額には、お申込手数料とお申込手数料にかかる消費税相当額を含みます。外国債券の購入金額には、経過利息は含みません。・外貨決済時は、ＳＭＢＣ日興証券が定める換算レートで購入金額を計算します。・国内投資信託は国内約定日、外国投資信託は海外約定日を基準として購入金額を合算いたします。

購入金額

・『特別金利定期預金プレミアムクーポン』の有効期限は、発行日から３ヵ月後応当日（休日の場合前営業日）までです。・『特別金利定期預金プレミアムクーポン』に記載されているお客さまの名義で特別金利定期預金を作成いたします。・特別金利定期預金は三井住友銀行指定の本支店を勘定店として作成いたします。

留意点

・新規のご資金は、現金、小切手、他金融機関（ＳＭＢＣ日興証券は除く）からの振込により、定期預金預入日の１ヵ月前の応当日（休日の場合も含む）から定期預金の預入日までに三井住友銀行に入金された資金を対象とします。三井住友銀行でご購入された金融商品の売却代金や三井住友銀行からご出金された資金は対象となりません。（お客さまの口座における現金出金等を確認させていただきます。）・定期預金は原則一括預入のみとなります。ただし、「マル優扱の場合」、「新規のご資金と既存のご資金を併用する場合」のみ同一の預入日に限り分割預入いたします。・スーパー定期、大口定期について、くわしくは三井住友銀行店頭の説明書等をご覧ください。

留意点

・ＳＭＢＣ日興証券と三井住友銀行との情報共有についての同意の取消や、対象商品購入の取消等により、銀証資産づくりセットの利用条件を満たさなくなった場合には、特別金利定期預金のお申込はできません。・三井住友銀行の他サービスやキャンペーンとの併用はできません。・今後予告なく銀証資産づくりセットの内容を変更したり、取り扱いを中止することがありますので、あらかじめご了承ください。

その他

（平成28年１月２９日現在）（ＳＭＢＣ日興証券用）

SMBC日興証券と三井住友銀行との情報共有同意書をご提出いただいており、かつ、右記のいずれかにあてはまる個人のお客さま

（＊）取扱部室店 【北海道・東北地区】札幌支店、仙台支店【首都圏】本店、八重洲支店、銀座支店、上野支店、大手町支店、市ヶ谷支店、北千住支店、錦糸町支店、津田沼支店、船橋支店、柏支店、千葉支店、松戸支店、本八幡支店、新宿支店、調布支店、池袋支店、池袋西口支店、大泉支店、赤羽支店、中野支店、吉祥寺支店、立川支店、八王子支店、小金井支店、烏山支店、浜田山支店、所沢支店、大宮支店、川越支店、浦和支店、町田支店、自由が丘支店、蒲田支店、虎ノ門支店、赤坂支店、渋谷支店、五反田支店、玉川支店、下北沢支店、横浜支店、川崎支店、溝ノ口支店、上大岡支店、戸塚支店、藤沢支店、鎌倉支店、小田原支店、新百合ヶ丘支店、厚木支店、青葉台支店【東海地区】名古屋支店、名古屋駅前支店、豊橋支店、岡崎支店【近畿圏】大阪支店、京橋支店、難波支店、梅田支店、千里中央支店、なんばパークス支店、東大阪支店、阿倍野支店、天王寺支店、堺支店、御堂筋本町支店、枚方支店、高槻支店、守口支店、京都支店、大津支店、奈良支店、学園前支店、和歌山支店、神戸支店、明石支店、姫路支店、三宮支店、西宮支店、尼崎支店、芦屋支店、広島支店、岡山支店【九州地区】福岡支店、北九州支店【その他部室店】プライベート・バンキング第一・二・三部、大阪プライベート・バンキング部、職域営業部

①三井住友銀行がSMBC日興証券へ紹介したお客さま②SMBC日興証券と三井住友銀行が①とみなしたお客さま③SMBC日興証券指定の取扱部室店（＊）にてお取引があるお客さま

ご利用いただけるお客さま

外国債券株式投資信託（上場投資信託は除く）

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CSR Committee

Executive office(CSR Section of Management Planning &Administration)

President & CEO

Divisions, branches, and group companies

Sharing information andcollaboration

SMBC Nikko Securit ies places an emphasis on conforming to the expectations of society by applying social awareness to its main business and bui lding relat ionships of trust with a wide range of stakeholders surrounding it, with the aim of leveraging the power of finance for the future over generations. We firmly believe that it is very important to commit ourselves in a natural way to CSR activities as part of our daily operations by steadily working on what we can do.With the strengths of financial service as our main business, we work act ively on environmental conservat ion and contr ibut ion to local communities in addition to financial and economic education, and the provision of environment-related financial products and services.

CSR Initiatives

SMBC Nikko Securities has a CSR Committee as

a cross-organizational committee for promoting

its CSR activities. In the CSR Committee, the top

management assumes the role of chairman, focusing

on the consideration of priority challenges and

enhancing their initiatives.

We made a commitment to SRI (Socially Responsible

Investment) at an early stage, in which investment

targets are determined by taking into consideration

those companies’ contributions to society and

environmental conservation in addition to the impacts

of their business activities on environment. At

present, we support the activities of environmentally-

conscious companies by of fer ing investment

opportunities through handling environment-related

investment trusts and socially collaborative business

bonds.

In order to disseminate correct knowledge of

securities and finance, we are actively working on

promoting enlightenment activities consisting of

various kinds of financial and economic education for

each generation from young people who are leaders

of tomorrow to adults.

We present visiting lectures for children in higher

grades at elementary schools nationwide. At these

schools, we provide not only ordinary lectures

using handouts but also experience-based lectures

using card games to learn the financial relationships

between society and the economy, as well as the

roles of financial institutions.

In summer, we hold our Nikko Family Exciting

Experience Day, a special real-life experience

program designed for elementary school students

and their families at our branches across the

country. Participants visit our branches on the work-

study program and learn about the economy, flows

of money, stocks, and the social roles of financial

institutions among other things.

We also offer company visits and hold seminars

for students and adults to help them deepen their

knowledge of finance, economy and securities

companies by organizing a tour of the Tokyo Stock

Exchange and our branches, and holding seminars

on the system of money and stocks, and the roles of

financial institutions.

We cooperate with our group company Nikko

Research Center, Inc. to provide universit ies

and graduate schools with corporate sponsored

programs on financial economics and securities

investment and send instructors to help students

acquire knowledge of securities as part of the liberal

arts.

● CSR Committee

● SRI-related Financial Products

● Financial and Economic Education

(1) Visiting Lectures Presented by Nikko

(2) Nikko Family Exciting Experience Day

(3) Company Visits and Seminars

(4) Corporate Sponsored Programsat Universities

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In addition to energy-saving and resource-saving

initiatives, we contribute to natural environment

conservation activit ies aiming at creating an

environmentally-conscious money flow.

International Standard ISO 14001Implementation of an Environmental Management System

In order to implement measures for environmental

conservation effectively and efficiently, we have

established an Environmental Management System,

receiving ISO 14001* certification in 2001, the first

in the industry. At present, divisions in the Tokyo

Daiya Building and Yamatane Building have the

same certification for use in the enhancement of the

environmental activities.

Each director and employee works to contribute

to the sustainable development of society by

acting with the aim of addressing a variety of

problems in society.

We have donated relief supplies offered by in-

house volunteers and a por tion of the profits

from funds relating to disaster-stricken regions

to support victims of natural disasters around

the world. We introduced a system for sending

donations through the Japanese Red Cross

Society while calling for participation from our

directors and employees. The company and

employees jointly participate in these activities.

We host “Green Week” to enhance environmental

conservation and social contribution activities for

the purpose of activating communication between

local communities and participating directors and

employees while deepening their understanding of

environmental conservation through joining social

contribution activities.

“Respect for Diversity” is part of our management

philosophy. SMBC Nikko Securities, appreciating the

Japan Blind Football Association’s vision, “Realizing

a society in which the visually challenged and

the non-handicapped live together as a matter of

course through blind football,” concluded a partner

agreement with the Association. We offer in-house

volunteers for tournaments and training programs

for kids.

SMBC Nikko Secur i t ies implements var ious

measures to contribute to “building a society

friendly to everyone,” including cultivating the

next generations, and serves as a co-sponsor of

“Kokorono Gekijo,” a project of the Shiki Theatre

Company to invite six-graders from elementary

schools across the countr y to i ts theatr ica l

performances. We work as volunteers at their

performances in many cities nationwide.

*The ISO 14001 Environment Management System (EMS) standard is an internationally recognized environmental management standard which was first published in 1996. It is a systematic framework to manage the immediate and long term environmental impacts of an organization’s products, services and processes.

● Contribution to Environmental Conservation

● Community

● Support for Disaster Victims

(1) Green Week

(2) Support for Blind Football

(3) Co-sponsor of Shiki Theatre Company’s

“Kokorono Gekijo (Theater of the Hearts)”

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(As of June 30, 2016)

Corporate Governance

With a view to bringing in more diverse perspectives

from outside the company, we increased the number

of outside directors and outside auditors from two

to four; namely two out of 13 directors and two out

of four statutory auditors were appointed from the

outside on June 27, 2016.

Our management policy, management plans, and

other important matters are decided by the Board of

Directors comprised of 13 directors (including two

outside directors). While the Chairman of the Board

chairs the Board of Directors’ meeting, his/her duties

are clearly segregated from those assumed by the

President & CEO, who controls the entire businesses.

The Board of Directors regularly receives reports

from the advisory council, which deliberates and

examines corporate governance matters including

compliance, risk management, and systems, and

ensures the company’s operations are performed

Fully recognizing our significant social responsibilities

as a player in the financial product market, we have

positioned compliance as one of the most important

management priorities, and constantly upgrade and

implement our compliance structure to be better

understood and trusted by other market participants

and by society as a whole.

Securities companies are exposed to various and

complicated risks, such as market risk, credit risk,

liquidity risk, operational risk including system risk,

legal risk, and reputational risk. We continuously

enhance and implement our risk management

structure so that we can identify, appropriately

manage and control these r isks to mainta in

the company’s soundness and strengthen our

profitability.

appropriately. The statutory auditors (including two

outside auditors) attend the Board of Directors’

meetings to monitor the status of execution of duties

by directors.

The statutory auditors also attend the Executive

Committee Meeting, a decision-making body for the

overall business, and other meetings regarding the

execution of operations to monitor how directors

perform their duties. Furthermore, the statutory

auditors have independent authority to be able to

receive detailed reports from the organizations

responsible for actual operations.

We adopt an executive officer system with the

aim of effective execution of the management plan

and other important operations that are approved

by the Board of Directors while clarifying where

responsibility lies. Currently, 43 executive officers

have been appointed by the Board of Directors.

Management Control

Compliance Risk Management

StatutoryAuditors

Head Office divisions andFront-Line Offices Nikko’s subsidiaries, etc.

Compliance Unit

ComplianceCommittee

Board of Directors

ManagementCommittee

Head of Compliance

Internal Audit Unit

Instruction, monitoring, and legal supports

AuditReport and consultation

ReportReport

Consultation andreport

Approval andreport

Request forresolution, report

Requestfor advice

Audit

Approval andreport

Audit StatutoryAuditors

Head Office divisions andFront-Line Offices Nikko’s subsidiaries, etc.

Risk Management Divisions

Risk ManagementCommittee

Board of Directors

ManagementCommittee

Head ofRisk Management

Internal Audit Unit

Application and report

AuditApproval andmonitoring

ReportReport

Consultation andreport

Approval andreport

Request forresolution, report

Requestfor advice

Audit

Approval andreport

Audit

22

(As of April 1, 2020)

Corporate Overview

Company Name SMBC Nikko Securities Inc.

Head Office 3-1, Marunouchi 3-chome, Chiyoda-ku, Tokyo 100-8325, Japan

Phone Number +81-3-5644-3111　（Head office）Representative Yuichiro Kondo, President & CEO

Date of Incorporation June 15, 2009

Commencement of Operations October 1, 2009

Financial Instrument Dealer No. 2251 (Financial instruments firms), Registration Number Director-General of Kanto Local Finance Bureau

URL www.smbcnikko.co.jp/en

Membership in Associations Japan Securities Dealers Association

Japan Investment Advisers Association

The Financial Futures Association of Japan

Type II Financial Instruments Firms Association

Each of the services as well as investments in products, etc. contained in this material may require predetermined commissions and expenses, etc. to be borne by the client. In addition, please note that it is possible that each financial product may cause losses due to fluctuations in price. Risks such as commissions vary depending on each product; therefore, clients are requested to carefully read the document on listed securities, etc., the pre-contract document on the relevant products, etc. and the documents supplied to clients.Please note that the provision of information herein is intended to offer information for reference for investments, and not to guarantee future results. Final decisions on investments must be made at the client’s own judgment.

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