【NEWS RELEASE】
September 9, 2020
SMBC Nikko Securities Inc.

Organizational and Personnel Changes

SMBC Nikko Securities Inc. announces organizational and personnel changes as follows.
1. Organizational Changes (Effective as of September 9, 2020)(1) Administrative Operation
 Administrative Services Division is abolished and the business is transferred toBusiness Process Planning Division.
 Institutional Business Operation Division is abolished and the business is transferred
to Settlement Division and Regional Financial Institutions and Corporate Business
Promotion Division.
(2) Corporate Planning & Customer-Oriented Business Planning Customers

Satisfaction

Improvement

PlanningDivisionisreorganizedasCustomer-Oriented Business Planning Section.
(3) Business Strategy & Development
 Business Strategy & Development is established.
 Strategic Synergy Department Section is reorganized as Business Strategy &Development Division.
(4) Sales Planning Sales Business Planning Division is renamed Sales Planning Division.
 Sales Business Promotion Division is renamed Sales Business Support Division.
 Direct Marketing Division is renamed Direct Strategy and Planning Division.

This material is an English translation of Japanese announcement made on September 9, 2020. Although the company intended tofaithfully translate the Japanese document into English, the accuracy and correctness of this translation are not guaranteed and thus you
are encouraged to refer to the original Japanese document.

(5) Private Banking
 Private Banking Ⅳ Division is established.
 Private Banking Strategy & Planning Division is abolished and the business istransferred to Private Wealth Strategy Division and Sales Planning Division.
 SMBC Wealth Management Division is abolished and the business is transferred toPrivate Banking I Division, Private Banking Ⅳ Division and Osaka Private BankingDivision.
(6) Product Marketing Asset Management & Insurance Products Division is established.
 Asset Management & Insurance Marketing Division is established.
 Asset Management Products Division, Asset Management Marketing Division andInsurance Products Marketing Division are reorganized as Asset Management &Insurance Products Division and Asset Management & Insurance Marketing Division.
 CIO Preparatory Office is established.
(7) Equity
 Equity Products Solutions Division is abolished.
 Structured Products Division is established under joint management with Financial
Markets.
 Global Financial Products & Solution Division is established under joint managementwith Financial Markets.
 Equity Business Development Division is renamed Equity System Development.
(8) Financial Markets
 Structured Products & Solution Division is abolished.
 Structured Products Division is established under joint management with Equity.
 Global Financial Products & Solution Division is established under joint managementwith Equity.
(9) Global Capital Markets
 Financial Solution Division is established.
(10) IPO Underwriting & Consulting, Investment Banking
 Private Companies III Division is abolished and the business is transferred to Private
Companies II Division.

22. Changes in Executive Officers (Effective as of September 9, 2020)
Managing Executive Officer, Senior Deputy Head of Sales
Masashi Sakamoto

Unit (Direct Strategy and Planning) and Head of ProductMarketing Unit
Executive

Shinsuke Ushijima

Officer,

Customer-Oriented

HeadofBusinessCorporatePlanning

PlanningandHead&ofBusiness Strategy & Development
Executive Officer, Senior Deputy Head of Corporate
Koji Matsumoto

Planning & Customer-Oriented Business Planning, Senior
Deputy Head of Business Strategy & Development andSenior Deputy Head of International Business

3.

Personnel Changes (Effective as of September 9, 2020)
Akihiro Moriguchi

General Manager, Ota Branch

Kentaro Hanzawa

General Manager, Institutional Business Sapporo

Munehisa Okamura

General Manager, Takasaki Branch

Katsuhiro Monna

General Manager, Urawa Branch

Hisashi Murakami

General Manager, Institutional Business Omiya

Takayuki Kirii

General Manager, Kofu Branch

Kenji Morinaga

General Manager, Tachikawa Branch

Tatsuya Miura

General Manager, Hachioji Branch

Etsuko Okada

General Manager, Kinshi-cho Branch

Atsushi Sakamoto

General Manager, Kojimachi Branch

Yasuhiro Sakurai

Deputy General Manager, Nihonbashi Branch

Kengo Mizukoshi

General Manager, Motoyawata Branch

Yuki Harano

General Manager, Aobadai Branch

Masayoshi Mitani

General Manager, Kamakura Branch

Yoshiyuki Kamoda

General Manager, Gotanda Branch

Yusuke Suzuki

General Manager, Tamagawa Branch3Naoko Hayashi

General Manager, Fujisawa Branch

Toru Kubota

General Manager, Machida Branch

Takuya Takayama

General Sales Manager, Gifu BranchTakeshi Maeda

General Manager, Institutional Business Shizuoka and GeneralManager, Institutional Business Hamamatsu

Takahiko Nagahashi

General Manager, Takaoka Branch

Sotaro Shiba

General Manager, Toyama Branch

Hiroki Nishio

General Manager, Numazu Branch

Shoichiro Shimura

General Manager, Osaka Branch

Kayoko Inui

General Manager, Umeda Branch

Taiki Habiro

General Manager, Gakuenmae Branch

Kazuhiro Kuki

General Manager, Kishiwada Branch

Kentaro Gushima

General Sales Manager, Kyoto BranchHirotoshi Nagai

General Manager, Sakai Branch

Jun Sugiura

General Manager, Matsuyama Branch

Tsuruo Fujita

General Manager, Yao Branch

Yuya Tashiro

General Manager, Ashiya Branch

Hiroki Ikeda

General Manager, Kagoshima Branch

Akiko Nakanishi

General Manager, Kawanishi Branch

Takayuki Hiratsuka

General Sales Manager, Fukuoka Branch

Shin Kobayashi

General Manager, Fukuyama Branch

Tatsuya Sumita

General Manager, Miyazaki Branch

Tomohiro Baba

General Manager, Yonago Branch

Hayato Kino

Deputy Head of Compliance

Tomoyuki Hashimoto

Deputy Head of Administrative Operation and Co-GeneralManager, Business Process Planning

Hiroshi Yamamoto

Co-General Manager, Business Process Planning

Kazuki Nishi

Co-General Manager, Settlement
4Atsushi Takahashi

Co-General Manager, Settlement

Kenta Ishii

General Manager, Business Strategy & Development

Ayumu Goto

Co-General Manager, Sales Planning

Toshihiko Kato

Co-General Manager, Sales Planning (Special Missions)

Masahiro Yamaguchi

General Manager, Sales Business Support

Yasushi Matsumoto

General Manager, Sales Administration

Masako Kajima

General Manager, Alliance Business Planning

Masashi Maruyama

General Manager, Direct Strategy and Planning

Hiroyasu Fujikawa

General Manager, Equity Advisory

Kazuhisa Hozumi
Toyo Mizuno

Deputy Head of Regional Financial Institutions and Corporate
Business Promotion
General Manager, Regional Financial Institutions and Corporate
Business Promotion

Katsunori Takahashi

Senior Deputy Head of Private Banking

Masatomo Odagawa

Senior Deputy Head of Private Banking

Kyoko Nomura

General Manager, Private Banking I

Hidenori Tashiro

General Manager, Private Banking Ⅳ

Junko Ikarashi

General Manager, Asset Management & Insurance Products

Yosuke Tanaka

General Manager, Asset Management & Insurance Marketing

Yui Takahashi

General Manager, Global Financial Products & Solution

Jay Beddow

General Manager, Equity System DevelopmentSeiichi Izumo

General Manager, Global Macro Sales

Shinichiro Okazaki

General Manager, Structured Products

Naoki Shindo

Senior Deputy Head of Financial Market Products

Noritaka Oda

General Manager, Debt Syndicate

Tatsuro Shizu

General Manager, Financial Solution

Yuji Shirakawa

General Manager, Corporate Clients Osaka I

Hideyuki Shinike

General Manager, Compensation & Benefit Planning Solutions
5

Norimasa Fujii
Kazuhiro Kochi
Hideo Sudo
Nobuhiko Kimura

General Manager, Business Processing of Compensation &Benefit Plan
Senior Deputy Head of IPO Underwriting & Consulting,
Investment Banking
Senior Deputy Head of Investment Banking (Real Estate Sector)
Senior Deputy Head of Mergers and Acquisitions Advisory andGeneral Manager, Mergers and Acquisitions Advisory I

Katsuhiko Yasui

Deputy Head of Financial & Public Institutions

Kazuya Morishima

General Manager, Public Institutions Osaka###6