【NEWS RELEASE】
March 16, 2023
SMBC Nikko Securities Inc.
Organizational and Personnel Changes

SMBC Nikko Securities Inc. announces organizational and personnel changes as follows.
1.

Organizational Change (Effective as of March 16, 2023)(1)

Global Business Planning Division・2.

Preparatory Department for Establishment of Subsidiary in China is abolished.

Organizational Changes (Effective as of April 1, 2023)
(1)

(2)

Product Marketing Division
・Product Marketing Planning Dept. is transferred from Product Marketing Division to Product Marketing Unit.

・Equity Marketing Dept. is reorganized as Retail Equity Business Dept.

Investment Management & Advisory Division
・Investment Management & Advisory Division is established.

・Investment Management Business Dept. and Chief Investment Office are transferred from Product Marketing Division toInvestment Management & Advisory Division.

(3)

(4)

Private Corporate Finance Division
・IPO Underwriting & Consulting Division is renamed Private Corporate Finance Division.

・

Investment Banking IPO I Dept. is renamed Private Corporate Advisory I Dept.

・

Investment Banking IPO II Dept. is renamed Private Corporate Advisory II Dept.

・Investment Banking IPO III Dept. is renamed Private Corporate Advisory III Dept.

・Private Companies I Dept is renamed Private Corporate I Dept.

・Private Companies II Dept is renamed Private Corporate II Dept.

・Private Companies Osaka Dept is renamed Private Corporate Osaka Dept.

Corporate Finance Division
・(5)Mergers and Acquisitions Advisory Division・(6)Asset Finance Section is reorganized as Asset Finance Dept.
Engagement Advisory Dept. is established.

Global Capital Markets Division
・Sustainable Finance Dept. is reorganized as Sustainable Solution Dept. and transferred from Global Capital Markets
Division to Global Investment Banking Unit.

This translation is based on the press release in Japanese announced on March 16, 2023. The content of the translation may not be coincident with theoriginal.

3.

Changes in Executive Officers (Effective as of March 31, 2023)(1)

Retirement of Executive Officers

NameShinya Inose

NewCurrent

President & CEO, Nikko Business Systems Co.,Managing Executive Officer, Head of Board ofLtd. (Effective as of April 1, 2023)

Directors Office and Senior Deputy Head ofBusiness Risk Control

Seiichi Inaba

Makoto Nishioka

President & CEO, Nikko Investor Relations

Managing Executive Officer, Head of HumanCo.,Ltd. (Effective as of April 1, 2023)

Resources Unit and Head of Human Resources

President & CEO, Nikko Research Center, Inc.

Managing Executive Officer, Head of Product(Effective as of April 1, 2023)

Marketing Unit and Head of Product Marketing
Division

Yoshinori Hirahara

Executive Managing Director, Nikko Systems

Executive Officer, Head of Direct Marketing

Solutions, Ltd. (Effective as of April 1, 2023)

Yuji Anashige

Executive Officer, Head of Shutoken District-

Executive Officer, Senior Deputy Head of BusinessKoji Matsumoto

Strategy & Development, Senior Deputy Head of-Global Business Planning and Deputy Head of Special
Missions (North America)

Katsuyuki Kawabata(2)Executive Managing Director, Nikko Business

Executive Officer, Head of West Japan / Hokuriku

Systems Co., Ltd. (Effective as of April 1, 2023)

District

Changes in Executive Officers

NameNewCurrent

Deputy President Executive Officer, Head ofKenichi Hida

Compliance Unit and Head of Board of Directors
OfficeHideki Sakamoto

Deputy President Executive Officer, Head ofCompliance Unit

Deputy President Executive Officer, Head of Global

Deputy President Executive Officer, Head of Global

Investment Banking Unit, Head of Corporate Business

Investment Banking Unit

and Head of Special Missions (Wealth Advisory)
Takashi AikiSenior Managing Executive Officer, Head of Risk

Senior Managing Executive Officer, Head of Risk

Management Unit and Operation & System UnitManagement Unit

Senior Managing Executive Officer, Head of PlanningShuji Yoshioka

Unit, Head of Finance and Head of Business Strategy& Development

Shinsuke Ushijima
Hideyuki Omokawa
Hiroshi Inoue

Tatsuya Shiine

Keiji Wada
Hajime Kawakami

Managing Executive Officer, Co-Head of Global
Markets Unit and Co-Head of Equity

Senior Managing Executive Officer, Head of ProductManaging Executive Officer, Head of Planning Unit

Marketing Unit and Head of Product Marketingand Head of FinanceManaging Executive Officer, Senior Deputy Head ofManaging Executive Officer, Head of BusinessBusiness Strategy & Development

Strategy & Development

Managing Executive Officer, Senior Deputy Head ofManaging Executive Officer, Deputy Head of Global

Global Investment Banking Unit

Investment Banking UnitManaging Executive Officer, Head of Human
Resources Unit and Head of Human Resources

Managing Executive Officer, Head of Financial &Public Institutions Unit and Head of Financial &Public Institutions

Managing Executive Officer, Head of Financial &Executive Officer, Head of Corporate Business andPublic Institutions

Head of Special Missions (Wealth Advisory)

Managing Executive Officer, Head of Kyushu /Executive Officer, Head of Kyushu / Shutoken East

Shutoken East District

District2This translation is based on the press release in Japanese announced on March 16, 2023. The content of the translation may not be coincident with theoriginal.

NameNew

Current

Managing Executive Officer, Senior Deputy Head of

Munehiro Yamada

Global Investment Banking Unit and Head of

Executive Officer, Head of Corporate Finance (RealCorporate Finance (Real Estate & Infrastructure Group

Estate & Infrastructure Group and Consumer, Retail &and Consumer, Retail & Healthcare Group andHealthcare Group and Consumer, Retail & Healthcare

Consumer, Retail & Healthcare Group II and Asset

Group II and Asset Finance)

Finance)
Managing Executive Officer, Senior Deputy Head ofDaiji Nakata

Sales Unit, Head of Sales Planning and Head of Direct
Marketing

Akira Yamamoto
Norikazu Akedo
Tomoharu Sato

Hitoshi Tsuboi

Koji Ueda
Kazuhiko Sawanobori

Masahito Nonaka

Managing Executive Officer, Head of Risk
Management
Managing Executive Officer, Co-Head of Global
Markets Unit and Co-Head of Equity

Executive Officer, Senior Deputy Head of Sales Unit,
Head of Sales Planning
Executive Officer, Head of Risk Management
AdvisorExecutive Officer, Co-Head of Private Corporate

Executive Officer, Co-Head of IPO Underwriting &FinanceConsulting

Executive Officer, Corporate Finance (Financial

Executive Officer, Corporate Finance (FinancialSponsor Group) and Co-Head of Private Corporate

Sponsor Group) and Co-Head of IPO Underwriting &FinanceConsulting

Executive Officer, Head of Wholesale Business

Senior General Manager, Head of Wholesale Business

Planning

Planning

Executive Officer, Co-Head of Equity and Co-Head of

Senior General Manager, Co-Head of Equity and Co-Research (Equity Research)

Head of Research (Equity Research)

Deputy President, SMBC Nikko Securities America,Deputy President, SMBC Nikko Securities America,

Inc.

Inc.

Executive Officer (SMBC Nikko Securities Inc.)

Senior General Manager (SMBC Nikko Securities
Inc.)

Masashi Iguchi

Executive Officer, General Manager, Kyoto Branch

General Manager, Kyoto Branch

Executive Officer (Singapore)

Chief Executive Officer & President SMBC Nikko
Securities (Singapore) Pte. Ltd.

Toshihiko Oshio

Senior General Manager (SMBC Nikko Securities
Inc.)

Hiroki Takeda

Maki Nagatsuma

Executive Officer, Head of Shutoken District

General Manager, Nihonbashi Branch

Executive Officer, Senior Deputy Head of Corporate

General Manager, Communications

Planning & Customer-Oriented Business Planning(Communications, Customers Relation) and General
Manager, Communications

Yuichiro Kibe
Hirotaka Yuasa

Fumio Takamatsu

Executive Officer, Head of Private WealthSenior General Manager, Head of Private Wealth

Executive Officer, Head of Compliance and General

Senior General Manager, Head of Compliance andManager, Compliance

General Manager, Compliance

Executive Officer, Senior Deputy Head of Global

Executive Officer, Senior Deputy Head of Global

Capital Markets Origination, Senior Deputy Head of

Capital Markets Origination, Senior Deputy Head ofInvestment Banking & Solution

Investment Banking & Solution and General Manager,
Sustainable Finance3This translation is based on the press release in Japanese announced on March 16, 2023. The content of the translation may not be coincident with theoriginal.

4.

Personnel Changes (Effective as of April 1, 2023)
Name
Kazuhisa Sunada

Takuya Shinahara

New

Current

Senior General Manager, Head of Operation

Senior General Manager, Senior Deputy Head of Risk
Management

Senior General Manager, Senior Deputy Head ofSenior General Manager, General Manager, Global

System and General Manager, Global Markets

Markets TechnologyTechnology
Senior General Manager, Senior Deputy Head of
Mitsutaka Kajiya

General Manager, Product Marketing Planning

Product Marketing and General Manager, ProductMarketing Planning
Chief Executive Officer & President, SMBC Nikko

Takamitsu Kagyo

Deputy President, SMBC Nikko Securities (Singapore)
Pte. Ltd.

Securities (Singapore) Pte. Ltd.
Senior General Manager (SMBC Nikko Securities Inc.)

Masahiro Yamaguchi
Atsushi Takahashi
Naoto Koga
Takeshi Tajima
Masataka Mori
Ikuko Honda
Hajime Ochi
Miwa Saito
Tomoyuki Hashimoto
Tetsuya Nakamura
Taisuke Isono
Shingo Imamura
Makoto Miura
Sotaro Shiba
Kosei Sakamoto
Hide Nishikawa
Osamu SawadaSenior General Manager, General Manager, Sales

General Manager, Sales Planning

Planning
Executive Director, Nikko Business Systems Co., Ltd.

Senior General Manager, Head of Administrative

Senior General Manager (SMBC Nikko Securities Inc.)

Operation

General Manager, Financial Institutions Osaka

General Manager, Chofu Branch

Deputy Head of Member of the Audit and Supervisory

Deputy General Manager, Corporate Planning

Committee
Deputy Head of Member of the Audit and Supervisory

General Manager, Legal

Committee
General Manager, Legal

Deputy General Manager, Business Compliance

Deputy Head of Human Resources

Deputy General Manager, Human Resources

General Manager, Personnel Development

General Manager, Private Banking II

Deputy Head of System and Operation

Deputy Head of System, General Manager, SystemSecurity Planning

General Manager, System Security Planning

General Manager, System Planning

General Manager, Nikko Open Innovation Lab

Investment Banking Business Support

General Manager, Financial Planning

Deputy General Manager, Corporate Planning andFinancial Planning

Deputy Head of Global Business PlanningManager, Global Human Resources

General Manager, Sales Business Support

General Manager, Toyama Branch

General Manager, Solution Business Advisory

General Manager, Kochi Branch

Deputy Head of Regional Financial Institutions andGeneral Manager, Financial Institutions Osaka

Corporate Clients
General Manager, Institutional BusinessDeputy General Manager, Financial & Public
Institutions Group4

This translation is based on the press release in Japanese announced on March 16, 2023. The content of the translation may not be coincident with theoriginal.

Name
Daiya Takatsuka
Yasushi Okada
Takeshi Umeda
Takaaki Matsumoto
Tsuyoshi Mizoo
Karen Komase
Norimasa Yamamoto
Hiroyuki Akagi
Masayoshi Mitani
Masayuki Takao
Tomonobu Sasaki
Hiroshi Terada
Tomoji Yokoyama
Masami Wada
Norio Asamura
Seiichi Izumo
Tatsunoshin Nihei
Junichiro Wada
Norimasa Fujii
Kenichi Iwase
Takaaki KurashimaKazuhiro Kochi
Masaru Sakaguchi
Hidetsugu Yatabe
Hisakazu Sakai

NewCurrentGeneral Manager, Private Wealth Strategy

Section Manager, Private Banking IIGeneral Manager, Private Banking IIGeneral Manager, Private Wealth Strategy

Deputy Head of Public Institutions

General Manager, Fixed Income Marketing

General Manager, Public Institutions I

General Manager, Public Institutions II

General Manager, Public Institutions IIGeneral Manager, Hamamatsu Branch

General Manager, Public Institutions Nagoya

General Manager, Akasaka Branch

General Manager, Asset Management Products

General Manager, Asset Management & InsuranceMarketingGeneral Manager, Asset Management & Insurance

General Manager, Yamagata BranchMarketingGeneral Manager, Retail Equity Business

General Manager, Equity Marketing

General Manager, Fixed Income Marketing

General Manager, Oita Branch

Deputy Head of Investment Management & Advisory

General Manager, Asset Management Products

Senior Deputy Head of Global Markets Planning

General Manager, Global Markets Planning

General Manager, Global Markets Planning

Deputy General Manager, Global Markets Planning

General Manager, Equity Trading

Deputy General Manager, Equity Trading

General Manager, Global Macro Sales

Deputy General Manager, Global Macro Sales

General Manager, Financial Market & Economic

General Manager, Global Macro Sales

ResearchGeneral Manager, Debt Capital Markets

General Manager, Public Sector Debt Capital Markets

General Manager, Public Sector Debt Capital Markets

Deputy General Manager, Public Sector Clients

Deputy Head of Corporate Business

Co-General Manager, Stock Plan Solutions

General Manager, Stock Plan Solutions

General Manager, Sales & Advisory - Corporate Clients

General Manager, Sales & Advisory - Corporate Clients

Section Manager, Sales & Advisory - Corporate Clients

Senior Deputy Head of Private Corporate Finance

Senior Deputy Head of IPO Underwriting & Consulting

Senior Deputy Head of Private Corporate Finance

Senior Deputy Head of IPO Underwriting & Consulting

Deputy Head of Private Corporate Finance

Deputy Head of IPO Underwriting & Consulting

Deputy Head of Private Corporate Finance

General Manager, Investment Banking IPO I

5This translation is based on the press release in Japanese announced on March 16, 2023. The content of the translation may not be coincident with theoriginal.

Name
Soichiro Saito
Fumiyasu Tasaki
Daisuke Ueda
Masashi Ihara
Hiromichi Kusano

NewCurrent

General Manager, Private Corporate Advisory I

Deputy General Manager, Investment Banking IPO I

General Manager, Private Corporate Advisory II

General Manager, Investment Banking IPO IIGeneral Manager, Private Corporate Advisory III

General Manager, Investment Banking IPO IIIGeneral Manager, Private Corporate I

General Manager, Private Companies I

General Manager, Private Corporate II

General Manager, Private Companies IIGeneral Manager, Private Corporate Osaka

Deputy General Manager, Wholesale Business Planning

Noriaki Fujiwaraand Section Manager Administration & Operation /Wholesale Business Planning

Takaaki Inoue
Yuji Takeuchi
Takashi Mikkaichi
Jumpei Yoneyama
Kenji Fujinami
Yoshiaki Yamano
Tsuyoshi Nikaido
Kohei Kajita
Masanori Kaseda
Tatsuo Shimmyo

5.

Senior Deputy Head of Corporate Finance and Co-HeadHead of Industrials Groupof Industrials GroupSenior Deputy Head of Corporate Finance and Head of

Head of Consumer, Retail & Healthcare GroupConsumer, Retail & Healthcare Group
Senior Deputy Head of Corporate Finance and Head of

Head of Technology, Media & Telecom Group

Technology, Media & Telecom GroupCo-Head of Industrials GroupSub-Sector Head of Industrials Group

General Manager, Asset FinanceManager, Asset Finance

Senior Deputy Head of Mergers and Acquisitions

General Manager, Mergers and Acquisitions Advisory

Advisory

Ⅲ

General Manager, Mergers and Acquisitions Advisory

Deputy General Manager, Mergers and Acquisitions

IIIAdvisory Ⅲ

General Manager, Engagement Advisory

Mergers and Acquisitions Solutions

General Manager, Sustainable Solution

Sub-Sector Head of Industrials Group

Deputy Head of Wholesale Business Planning

General Manager, Debt Capital Markets

Changes in Executive Officers (Effective as of June 19, 2023)(1)

Appointment of Director (Member of the Audit and Supervisory Committee)

Name
Tokio Morita

(2)

New

Current

Director (Outside), Member of the Audit andAdviser

Supervisory Committee

Retirement of Director (Member of the Audit and Supervisory Committee)

Name
Hideki Katou

New

Current
Director (Outside), Member of the Audit and-Supervisory Committee

6This translation is based on the press release in Japanese announced on March 16, 2023. The content of the translation may not be coincident with theoriginal.