【NEWS RELEASE】
March 17, 2021
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 March 17, 2021）(1) System
 System is established.
 System Planning & Operation Division is transferred from Administrative Operation to
System.
(2) Business Strategy & Development
 Merchant Banking Division is transferred from Wholesale Business Planning toBusiness Strategy & Development.
(3) Digital Innovation
 Innovation is renamed Digital Innovation.
(4) Direct Marketing Direct Service is renamed Direct Marketing.
 Direct Marketing Division is transferred from Sales Planning to Direct Marketing.
(5) East Japan District, Shutoken District, Tokai/Shutoken West District, Kinki District, WestJapan/Hokuriku District, Kyushu/Shutoken East District
 East Japan District, Shutoken District, Shutoken East District, Shutoken West District,
Tokai/Hokuriku/Shinshu District, Kinki/Shikoku District, West Japan District are
reorganized as East Japan District, Shutoken District, Tokai/Shutoken West District,
Kinki District, West Japan/Hokuriku District, Kyushu/Shutoken East District.
(6) Private Banking
 Private Banking Compliance & Administration is abolished and the business istransferred to Sales Administration Division.
(7) Product Marketing CIO Preparatory Office is reorganized as Chief Investment Office.

This material is an English translation of Japanese announcement made on March 17, 2021. Although the company intended to faithfullytranslate the Japanese document into English, the accuracy and correctness of this translation are not guaranteed and thus you areencouraged to refer to the original Japanese document.

(8) Global Markets Planning Quantitative Analytics & Development Section is reorganized as Quantitative
Analytics & Development Division.
(9) IPO Underwriting & Consulting
 IPO Underwriting & Consulting, Investment Banking is renamed IPO Underwriting &Consulting.
(10) Corporate Finance Corporate Business, Corporate Banking, Investment Banking are reorganized as
Corporate Finance.
 Corporate Clients III Division, Corporate Clients V Division, Part of business ofInvestment Banking I Division, Investment Banking II Division are reorganized as
Technology, Media & Telecom Group.
 Corporate Clients I Division, Corporate Clients II Division, part of business ofCorporate Clients VI Division, Corporate Clients VII Division, part of business ofInvestment Banking I Division, Investment Banking III Division are reorganized as
Industrials Group.
 Corporate Clients IV Division, Part of business of Corporate Clients VI Division,
Investment Banking IV Division are reorganized as Consumer, Retail & Healthcare
Group.
 Corporate Clients II Division, Investment Banking V Division are reorganized as Real
Estate & Infrastructure Group.
 Investment Banking VI Division is renamed Public & Financial Institutions Group.
 Investment Banking VII Division is renamed Financial Sponsor Group.
 Investment Banking VIII Division is renamed Corporate Finance Group I.
 Corporate Clients IX Division is renamed Consumer, Retail & Healthcare Group II.
 Investment Banking IX Division is renamed Corporate Finance Group II.
 Corporate Clients VIII Division, Corporate Clients X Division are transferred from
Corporate Business to Corporate Finance.
 Investment Banking Business Support Division is established.
 Industrial Research Division is transferred from Investment Banking to Global
Investment Banking Unit.
(11) Corporate Finance Nagoya
 Corporate Clients Nagoya is renamed Corporate Finance Nagoya.
(12) Corporate Finance Osaka Corporate Clients Osaka is renamed Corporate Finance Osaka.
(13) Mergers and Acquisitions Advisory
 Investment Banking Osaka is transferred from Corporate Clients Osaka to Mergers
and Acquisitions Advisory and renamed Mergers and Acquisitions Advisory Osaka
Division.
 Mergers and Acquisitions Division is transferred from Corporate Banking to Mergers
and Acquisitions Advisory and renamed Mergers and Acquisitions Advisory III
Division.
(14) Chief Sustainability Officer
 Chief Sustainability Officer is established.
(15) Based in Hong Kong
 Based in Hong Kong is established.
22. Organizational Changes （Effective as of April 1, 2021）(1) Private Wealth Private Banking is renamed Private Wealth.
(2) Corporate Finance Corporate Clients VIII Division, Corporate Clients X Division are reorganized as
Technology, Media & Telecom Group II.

33. Changes in Executive Officers （Effective as of March 17, 2021）(1) Retirement of Executive Officers
Hitoshi Ishii

AdvisorTaro Hayashi

AdvisorHiroaki Toyoda

Chairman, Nikko Business Systems Co., Ltd.
（Effective as of April 1, 2021）

Yoshiyuki Ninomiya

President & CEO, Nikko Investor Relations Co.,Ltd.
（Effective as of April 1, 2021）

Tomonari Kimura

AdvisorMasaharu Suenaga

President & CEO, Nikko Research Center, Inc.
（Effective as of April 1, 2021）

Mitsuhiro Akiyama

AdvisorTadaaki Komori

AdvisorKen Tanizaki

Executive Managing Director, Nikko Business Systems Co.,Ltd.
（Effective as of April 1, 2021）(2) Changes in Executive Officers
Kenichi Hida

Deputy President Executive Officer, Head of Sales Unit

Toshihiro Sato

Deputy President Executive Officer, Head of Global Markets
Unit

Kazuhiro Notsu

Senior Managing Executive Officer, Head of Planning Unit
and Head of FinanceTakashi Aiki

SeniorManaging

Executive

Officer,

Head

of

Risk

Management Unit
Masashi Sakamoto

Senior Managing Executive Officer, Head of ProductMarketing Unit

Hitoshi Minami

Senior Managing Executive Officer, Head of International
Business Unit and Head of International Business

Satoshi Osawa

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

4

Hideki Sakamoto

Senior Managing Executive Officer, Head of Global
Investment Banking Unit

Masayoshi Furusho

Managing Executive Officer, Senior Advisor of Human
Resources

Toshihiro Niidome

Managing Executive Officer, Head of Human Resources

Shinya Inose

Managing Executive Officer, Head of Compliance Unit andHead of Board of Directors OfficeKazuya Noguchi

Managing Executive Officer, Head of Kinki District

Shuji Yoshioka

Managing Executive Officer, Sumitomo Mitsui Banking
Corporation

Shinsuke Ushijima

Managing Executive Officer, Head of Corporate Planning &Customer-Oriented Business Planning and Head ofBusiness Strategy & Development and Head of Digital
Innovation and Chief Sustainability Officer

Seiichi Inaba

Managing Executive Officer, Head of Human Resources
Unit

Hidetsugu Oki

Managing Executive Officer, Representative Managing
Director of Nagoya and Head of Corporate Finance Nagoya

Reiji Domoto

Managing Executive Officer, Representative Managing
Director of Osaka and Head of Corporate Finance Osaka

Hiroshi Inoue

Executive Officer, Deputy Head of Global Investment
Banking Unit

Kazuyoshi Fukushima

Executive Officer, Head of Tokai/Shutoken West District

Keiji Wada

Executive Officer, Head of Corporate Business

Hironori Hattori

Executive Officer, Deputy Head of International Business

Hajime Kawakami

Executive Officer, Head of Kyushu/Shutoken East District

Yoshinori Hirahara

Executive Officer, Head of Direct Marketing

Rei Kyogoku

Executive Officer, Head of Corporate Finance（Technology,
Media & Telecom Group, Corporate Clients VIII, Corporate
Clients X and Public & Financial Institutions Group）

Kiichiro Hondo

Executive Officer, Head of Corporate Finance（Corporate
Finance Group I and Corporate Finance Group II）

Susumu Masuda

Executive Officer, Head of Financial Markets and Co-Headof Research （Financial Market & Economic Research）

5

Munehiro Yamada

Executive Officer, Head of Corporate Finance（Real Estate& Infrastructure Group and Consumer, Retail & Healthcare
Group and Consumer, Retail & Healthcare Group II and
Asset Finance）

Daiji Nakata

Executive Officer, Head of Sales Planning

Narutoshi Terauchi

Executive Officer, Head of Corporate Finance（Industrials
Group and Financial Sponsor Group）

Makoto Nishioka

Executive Officer, Head of Product Marketing and General
Manager, Product Marketing Planning

Kayo Nakamura

Executive Officer, Senior Deputy Head of Private Banking

Naoki Toyoizumi

Executive Officer, Head of Mergers and Acquisitions
Advisory

Yoshito Tetsuda

Executive Officer, Head of Regional Financial Institutions
and Corporate Clients

Fumio Takamatsu

Executive Officer, Senior Deputy Head of Global CapitalMarkets Origination

Tomoharu Sato

Executive Officer, Head of IPO Underwriting & Consulting

Masaru Sekido

Executive Officer, Head of East Japan District

Shinsuke Yoshioka

Executive Officer, Head of System, Deputy Head of Digital
Innovation and General Manager, System Planning &Operation

Hiromi Sato

Executive Officer, Deputy Head of International Business（ based in Hong Kong ） and President, SMBC Nikko
Securities （Hong Kong） Limited

4.

Katsuyuki Kawabata

Executive Officer, Head of West Japan/Hokuriku District

Ayumu Goto

Executive Officer, Head of Internal Audit

Personnel Changes （Effective as of March 17, 2021）
Toshihiko Kato

Deputy Head of Sales PlanningShunsuke Kuwamura

Head of Compliance

Atsushi Takahashi

Head of Administrative Operation

Hiroki Kishi

Deputy Head of Sales Planning

6

Kazuhisa Sunada

Naoki Shindo

Masanao Kishita

Head of Global Markets Planning
Deputy Head of Financial Markets and Deputy Head of
Research （Financial Market & Economic Research）
Deputy Head of Corporate Finance （ Corporate FinanceGroup I）

Koji Ueda

Head of Wholesale Business Planning

Masanori Momma

General Manager, Akita Branch

Makoto Koyama

General Manager, Sapporo Branch

Shinsaku Fujita

Deputy General Manager, Shinjuku Branch

Maki Makino

General Manager, Shinjuku-Higashiguchi Branch

Jun Shirayama

General Manager, Institutional Business Sendai

Naoto Koga

General Manager, Chofu Branch

Mitsunori Inoshima

General Manager, Niigata Branch

Shinya Kawasaki

General Sales Manager, Niigata Branch

Akitoshi Sakamoto

General Manager, Fukushima Branch

Hiroyuki Akagi

General Manager, Yamagata Branch

Hiroshi Adachi

General Manager, Akabane Branch

Kazuhiro Hitomi

General Manager, Utsunomiya Branch

Hitoshi Yamakage

General Manager, Omiya Branch

Nozomu Nishimura

General Sales Manager, Omiya Branch

Shuichi Yamasaki

General Manager, Kitasenju Branch

Noboru Nakagawa

General Manager, Chiba Branch

Shinji Noda

General Manager, Tsudanuma Branch

Junya Okazaki

General Manager, Tochigi Branch

Toyoaki Goto

Deputy General Manager, Nihonbashi Branch

Kazuhiko Teramoto

General Manager, Honjo Fukaya BranchSatoru Ai

General Manager, Okazaki Branch
7

Yoshinao Aoyama

General Manager, Kawasaki Branch

Kazutaka Tachi

General Manager, Gifu Branch

Takashi Takeuchi

General Manager, Shizuoka Branch

Oji Miyashita

General Sales Manager, Shizuoka Branch

Kuniyuki Hirabayashi

General Manager, Toyohashi Branch

Minoru Yoshida

General Manager, Nagoya Branch

Hiroshi Toda

Deputy General Manager, Nagoya Branch

Naohito Ikeda

General Manager, Nagoya-ekimae Branch

Tsuyoshi Mizoo

General Manager, Hamamatsu BranchToshiyuki Yamamura

General Manager, Mizonokuchi Branch

Masatoshi Suzuki

General Manager, Yokohama Branch

Hisataka Takiguchi

General Manager, Yokohama Kannai Branch

Teruhisa Nanri

Deputy General Manager, Osaka Branch

Shohei Ichikawa

General Manager, Otsu Branch

Masashi Iguchi

General Manager, Kyoto Branch

Hisamichi Kaburagi

General Manager, Kosaka Branch

Keitaro Takizawa

General Manager, Senri-chuo Branch

Daisuke Tomikawa

General Manager, Takatsuki BranchToshiko Osumi

General Sales Manager, Kobe Branch

Shinya Kanamitsu

General Manager, Sannomiya Branch

Eriko Yamamoto

General Manager, Takamatsu Branch

Takayuki Sasaki

General Manager, Nishinomiya Branch

Daisei Takahashi

General Sales Manager, Hiroshima Branch

Yoshiyuki Hatakeyama

General Manager, Fukui Branch

Karen Komase

General Manager, Akasaka Branch

Eiji Terashi

General Manager, Ikebukuro Branch8Satoshi Mochida

General Manager, Oizumi Branch

Masayuki Takao

General Manager, Oita Branch

Shigeharu Umetsu

General Manager, Otemachi Branch

Kunihiro Ouchi

General Manager, Shibuya Branch

Takafumi Suzuki

General Manager, Tokorozawa Branch

Soichiro Sugihara

General Manager, Nagasaki Branch

Takahiro Sekine

General Manager, Naha Branch

Mitsumi Ukai

General Manager, Main Branch

Mitsuru Tanaka

Deputy General Manager, Main Branch

Hirotaka Yuasa

General Manager, Compliance

Shigeru Muramatsu

General Manager, Branch Business Compliance

Naohiro Maeda

General Manager, Securities Trading Supervisory Operation

Yoshinori Sudo

General Manager, Human Resources

Jiro Inuzuka

General Manager, Personnel Development

Tomoyuki Hashimoto

Deputy Head of System

Tomomi Nishi

Co-General Manager, Business Process Planning

Kazuki Nishi

General Manager, Settlement

Maki Nagatsuma

General Manager, Communications

Kohei Mitamura

General Manager, International Business Supervisory andGeneral Manager, International Business Planning

Takeshi Kiura

Deputy Head of Sales Planning （Deputy Head of Sales）

Masato Inagaki

Deputy Head of Sales Planning （Deputy Head of Sales）

Masahiro Yamaguchi

General Manager, Sales Planning

Tatsuya Genjima

General Manager, Sales Business Promotion

Norie Ito

General Manager, Okinawa Contact Center

Naoto Adachi

General Manager, Front Service Center

Koichi Shibata

General Manager, Institutional Business9

Takafumi Inage
Yosuke Tanaka

General Manager, Private Banking III
GeneralManager,

Personal

Advisory

for

Corporate

Employees

Tomonobu Sasaki

General Manager, Asset Management Products

Norimasa Yamamoto

General Manager, Asset Management Marketing

Takashi Imai

General Manager, Investment Advisory Business

Satoshi Takeyama

General Manager, Chief Investment Office

Hiroshi Terada

General Manager, Global Markets Planning

Yasufumi Osajima

General Manager, Quantitative Analytics & Development

Tatsuo Shimmyo

General Manager, Debt Capital Markets

Kazuhiro Kochi

Senior Deputy Head of IPO Underwriting & Consulting

Masaru Sakaguchi

Senior Deputy Head of IPO Underwriting & Consulting

Hideaki Uenishi

Deputy Head of IPO Underwriting & Consulting

Hiromichi Kusano

General Manager, Private Companies II

Masami Uchida
Hideo Sudo
Masanori Maruo
Taro Fujikawa
Koki Yokota

Senior Deputy Head of Corporate Finance （ Corporate
Finance Group I）
Senior Deputy Head of Corporate Finance （Real Estate &Infrastructure Group and Asset Finance ）Deputy Head of Corporate Finance (Industrial Research)
Deputy Head of Corporate Finance and Head of Real Estate& Infrastructure Group
Deputy Head of Corporate Finance（Technology, Media &Telecom Group）

Kotaro Matsunawa

Head of Corporate Finance Group I

Daisuke Endo

Head of Corporate Coverage, Corporate Finance Group I

Yohei Kobayashi

Head of Corporate Coverage, Corporate Finance Group I

Masatoshi Morita

Head of Corporate Coverage, Corporate Finance Group I

Yoshihiro Miyachi
Takashi Mikkaichi

Co-Head of Technology, Media & Telecom GroupCo-Head of Technology, Media & Telecom Group10

Masashi Kushima

Head of Corporate Coverage, Technology, Media & Telecom
Group

Takaaki Inoue

Head of Industrials Group

Naoyuki Suenaga

Head of Corporate Coverage, Industrials Group

Noritomi Uchiyama

Head of Corporate Coverage, Industrials Group

Kazutoshi Otsuka

Head of Corporate Coverage, Industrials Group

Yuji Takeuchi

Head of Consumer, Retail & Healthcare Group

Masahiro Fujisawa
Izuru Nakamura

Head

of

Corporate

Coverage,

Consumer,

Head of Corporate Coverage, Real Estate & Infrastructure
Group
Head of Financial & Public Institutions Group

Hitoshi Tsuboi

Head of Financial Sponsor GroupTomonari Inoue
Yuusuke Ishimaru
Yoshiaki Yamano
Hidetomo Katsuki&

Healthcare Group

Shigeru Inoue

Kozo Mikawa

RetailSumitomo

Mitsui

Banking

Corporation

andGeneralManager, Corporate Finance Group II
Sumitomo Mitsui Banking Corporation and Head ofConsumer, Retail & Healthcare Group II
Deputy Head of Mergers and Acquisitions Advisory andGeneral Manager, Mergers and Acquisitions Advisory
General Manager, Mergers and Acquisitions Advisory III
General Manager, Mergers and Acquisitions Advisory
Osaka

Tadashi Fukai

General Manager, Mergers and Acquisitions Solutions

Munenori Kuroyama

General Manager, Investment Banking Business Support

Atsushi Fujita

Deputy Head of Wholesale Business PlanningKazuya Iinuma

General Manager, Wholesale Business Administration

Koichi Yamaguchi

General Manager, Public Sector Clients

Yoshimi Wada

General Manager, Public Institutions I

Takaaki Matsumoto

General Manager, Public Institutions II

Kazuaki Kobayashi

General Manager, Public Institutions Nagoya

11

5.

Changes in Directors and Executive Officers （Effective as of April 1, 2021）（1） Retirement of Director
Yoshihiko Shimizu

Advisor（2） Changes in Directors and Executive Officers
Yasuyuki Kawasaki

Representative Director, Chairman

Nobu Sakamoto

Managing Executive Officer, Senior Deputy Head of Sales
Unit and Head of Private Wealth

Kayo Nakamura

Executive Officer, Senior Deputy Head of Private Wealth

Rei Kyogoku

Executive Officer, Head of Corporate Finance（Technology,
Media & Telecom Group and Technology, Media & Telecom
Group II and Public & Financial Institutions Group）

6.

7.

Personnel Changes （Effective as of April 1, 2021）
Masatomo Odagawa

Senior Deputy Head of Private WealthKiyokazu Watanabe

Deputy Head of Private Wealth

Changes in Executive Officers （Effective as of May 1, 2021）（1） Changes in Executive Officers
Kazuhiro Notsu

Senior Managing Executive Officer, Head of Planning Unit

Tatsuya Suzuki

Senior Managing Executive Officer, Senior Deputy Head of
Global Investment Banking Unit and Head of Global CapitalMarkets Origination

Shunshi Kira

Managing Executive Officer, Head of Finance###12