March 19, 2015 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 19, 2015) (1)   Products Planning (Abolition) Products Planning Division and Financial Markets Planning Division are abolished and Products Planning is abolished. (2)   Product Planning (New) Product Planning is established. Global Product Planning Division and Product Marketing Planning Division are established. (3)   Asset Management (Abolition) The divisions under Asset Management are transferred to Product Marketing and Asset Management is abolished. (4)   Product Marketing (New) Product Marketing is established. Asset Management Products Division, Asset Management Marketing Division, Insurance Products Marketing Division and Investment Advisory Business Division are transferred from Asset Management. Equity Marketing Division is transferred from Equity. Fixed Income Marketing Division is transferred from Financial Markets. Investment Research and Investor Services Section is transferred from Research and reorganized as Investment Research and Investor Services Division. (5)   Equity (Reorganized) Equity Trading Division is renamed Execution Service Division. (6)   Financial Markets (Reorganized) Credit & Non-Yen Rates Division is established. (7)   Capital Markets Origination (Reorganized) Capital Markets Planning & Administration Division is established. (8)   Sales Planning (Reorganized) Financial Products Intermediary Business - SMBC Marketing Division and Financial Products Intermediary Business - Osaka SMBC Marketing Division are abolished. (9)   Alliance Business (New) Alliance Business is established. Alliance Business Planning Division is established. SMBC Alliance Business Development Division and SMBC Alliance Business This material is an English translation of Japanese announcement made on March 19, 2015. 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. Development Osaka Division are transferred from Sales Planning.
(10)   Sales I - VIII (Reorganized)
Sales I - VIII are reorganized as Hokkaido / Tohoku / Shinetsu, Shutoken, Shutoken East, Shutoken West, Tokai / Hokuriku, Kinki, West Japan and Kyushu / Okinawa. Sales Divisions are established in Omiya Branch, Kyoto Branch, Kobe Branch, Sapporo Branch, Shizuoka Branch, Chiba Branch, Hiroshima Branch, Fukuoka Branch and Yokohama Branch. (11) Public Institutions (Reorganized) Public Institutions and Sales & Advisory - Corporate Business are reorganized as Corporate & Public Institutions. Public Institution Operation Division is transferred from Solution Business. Public Institutions I Division and Public Institutions IV Division are reorganized as Public Institutions I — III Divisions. Public Institutions II Division is renamed Public Institutions Nagoya Division. Public Institutions III Division is renamed Public Institutions Osaka Division. (12)  Private Banking (Change of name, Reorganized) Wealth Management is renamed Private Banking. Private Banking Strategy & Planning Division is established. Private Banking Division and Wealth Management Section are reorganized as Private Banking I – III Divisions. Osaka PB Section of Private Banking Division is reorganized as Osaka Private Banking Division. Wealth Management Compliance & Administration Division is renamed Private Banking Compliance & Administration Division. (13) IPO Underwriting & Consulting, Investment Banking (Change of name, Reorganized) IPO Underwriting & Consulting is renamed IPO Underwriting & Consulting, Investment Banking. Investment Banking V Division is transferred from Corporate Business and Investment Banking and renamed Investment Banking VIII Division. (14)  Institutional Business Planning (Reorganized) Investment Banking Administration Division is renamed Wholesale Business Administration Division. (15) Corporate Business and Investment Banking (Reorganized) Corporate Business & Investment Banking and Investment Banking are reorganized as Corporate Business and Investment Banking. Investment Banking I - IV Divisions and Investment Banking IV - X Divisions are reorganized as Investment Banking I - VII Divisions. 2. Changes in Directors and Executive Officers (Effective as of March 19, 2015)
4.  Personnel Changes (Effective as of March 31, 2015) (1) Retiring Director
5.  Personnel Changes (Effective as of April 1, 2015)
(1)   Promotion of Director

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