August 2, 2011
SMBC Nikko Securities Inc.

SMBC Nikko Securities wins a silver prize in Best Outbound Campaign in Asia-Pacific,
in a contest for the 2011 Contact Center World Awards;
the first winner among domestic financial institutions
SMBC Nikko Securities Inc. (“SMBC Nikko Securities”) participated in the Asia-Pacific contest for the2011 Contact Center World Awards※, held in Gold Coast, Australia, on July 19-22, 2011 to select thebest corporation/individual who operates a contact center, and won a silver prize in the Best OutboundCampaign division. SMBC Nikko Securities is the first domestic financial institution to win a prize inthis contest.
The Best Outbound Campaign division assesses the strategy, operational efficiency and achievementsof the outbound business (making telephone calls to customers). SMBC Nikko Securities won theprize because its contact center was seen as providing useful services to customers and its efficient
operation contributing to the company’s business.
SMBC Nikko Securities makes constant efforts to improve the quality of its customer service in the callcenter business under the corporate slogan of “providing higher value on the customer-first principle.”
It has received high commendation from third-party organizations other than the one mentioned above.
Awards the company received in the past are as follows:--

Won a prize for five consecutive years (2006-2010) in the nationwide contest in telephone service(sponsored by Japan Telegraph and Telephone Users Association).
Won a three-star prize (best prize) for five consecutive years (2006-2010) in the rating of customer counter
service (sponsored by HDI-Japan).
Won a CRM Best Practice Award (sponsored by CRM Association Japan) for three consecutive years(2008-2010).
COPC-2000®CSP standard・Obtained certification in the inbound business (2008) and the first certification in the outbound business inJapan (2010).
Won a prize for two consecutive years (2009-2010) in the commercial/financial division of the corporate
telephone service contest (sponsored by Japan Telegraph and Telephone Users Association).
Won an Okinawa Prefecture IT Business Award (sponsored by Okinawa Prefecture) (2010).
Won a judge’s special prize in the Contact Center Award 2010 (sponsored by monthly Computer
Telephony) (2010).
Won a prize for two consecutive years (2010-2011) in the competent contact center rewarding system(established by the Japan Institute of Information Technology).

SMBC Nikko Securities will continue efforts to provide high-quality service that satisfies customers andthereby become a globally competitive full-service securities company excelling in both quality andquantity.
This material is an English translation of Japanese announcement made on August 2, 2011. Although the company
intended to faithfully 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.

※This is a contest to select the best corporation or individual in the contact center industry, sponsored byContactCenterWorld.com. In 2011, there were more than 1,000 entries from 50 or so countries/regions, which werescreened by application documents to decide final contestants in each region. The latest contest was held in three
regions – the U.S., Europe/Middle East/Africa, and Asia-Pacific. The world contest among the gold prize-winningcorporations and individuals from each region will be held in Las Vegas, the U.S., in November 2011.

2This material is an English translation of Japanese announcement made on August 2, 2011. Although the company
intended to faithfully 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.