SMBC

Company Profile

Company Name: SMBC Nikko Securities Inc. Established: 2009 Headquarters Location: Tokyo, Japan Registered Capital: 10 Billion Yen Corporate Structure: Headquartered In Tokyo, With Several Regional Branches, It Has Formed A Business Network Covering Japan And Overseas Markets. Equity Structure: The Parent Company Is Sumitomo Mitsui Financial Group, Accounting For 60% Of The Shares, And The Remaining 40% Are Publicly Traded Shares In The Market.

SMBC Nikko Is A Well-known Securities Firm In The Japanese Market And Is Part Of Sumitomo Mitsui Financial Group, A Leading Global Financial Services Group. The Company Was Established In 2009 By Integrating The Securities Businesses Of Sumitomo Bank And Sakura Bank. As A Subsidiary Of Sumitomo Mitsui Bank, One Of Japan's Three Major Metropolitan Banks, SMBC Nikko Has Significant Advantages In Terms Of Capital Strength, Brand Influence And Customer Trust.

Regulatory Information

Regulatory Authority: Japan Financial Services Agency (FSA) Regulatory License: Financial Services Agency Kanto Local Financial Bureau (Jinshang) License No. 2251

SMBC Nikko Operates Under The Strict Supervision Of The Financial Services Agency (FSA) And Holds A Compliance Financial License (Jinshang No. 2251). This License Indicates That SMBC Nikko Complies With The Standards And Requirements Of Japanese Financial Supervision When Providing Financial Services Such As Securities, Asset Management, Investment Banking, Etc. At The Same Time, The Company Strictly Abides By The Relevant Regulations Of Anti-money Laundering, Customer Privacy Protection, Etc. Set By The FSA.

Trading Products

SMBC Nikko Provides Clients With A Diverse Range Of Financial Products, Covering Individual, Institutional And Corporate Clients:

1. Stocks And Bonds: Including Trading, Underwriting And Financing Services For Stocks And Bonds In Japan's Domestic And Global Markets.
2. Derivatives: Provides Derivatives Trading Such As Stock Index Futures, Foreign Exchange Futures, And Options.
3. Asset Securitization: Provides Clients With Services Such As Bond Issuance, Asset-backed Securities (ABS), Etc.
4. Structured Products: Including Complex Financial Instruments Linked To Dividends, Exchange Rates, And Commodity Prices.
5. Fund Products: Offers A Variety Of Actively And Passively Managed Funds To Meet The Needs Of Clients With Different Risk Preferences.

As Of Q3 2023, SMBC Nikko's Asset Management Scale Reached 1.50 Trillion Yen , An Increase Of 10% Over 2022 .

Trading Software

SMBC Nikko Provides An Advanced Trading And Investment Platform For Institutional Clients And Individual Investors:

1. Institutional Trading System (ITS): Provides A Low-latency, High-stability Trading Environment For High-frequency Trading And Algorithmic Trading.
2. Personal Investment Platform (My Nikko): Provides An Intuitive Trading Interface That Supports Real-time Trading Of Stocks, Funds, Bonds, As Well As Detailed Market Analysis Tools.
3. Mobile Trading Platform: Clients Can Trade And Manage Their Accounts Anytime, Anywhere Through A Mobile App.

In Addition, The Company Also Provides Real-time Market Data And Analytical Tools To Help Customers Make More Informed Investment Decisions.

Deposit And Withdrawal Methods

SMBC Nikko Provides Customers With A Variety Of Convenient Deposit And Withdrawal Methods:

1. Bank Transfer: Customers Can Make Fast Transfer Transactions Through Domestic Banks.
2. Electronic Payment: Support Credit Card, Electronic Money And Other Payment Methods.
3. Cross-border Transfer: Support Foreign Exchange Transactions And Fund Transfers Worldwide Through The SWIFT System.

Information On Deposit And Withdrawal Fees Can Be Found On The Company's Official Website. The Fees Are Transparent And There Are No Hidden Costs.

Customer Support

SMBC Nikko Is Committed To Providing Customers With Multi-level Support Services:

1. Telephone Support: Provides A 24-hour Japanese And English Client Server Hotline To Answer Customers' Transaction And Account-related Questions.
2. Online Chat: Customers Can Communicate With Customer Service In Real Time Through The Official Website.
3. Face-to-face Consultation: There Are Several Branches In Tokyo And Other Major Cities, Providing Face-to-face Consultation Services.
4. Educational Resources: Provide Online Courses Such As Investment Knowledge, Market Analysis, And Risk Education To Help Customers Improve Their Investment Skills.

Core Business And Services

SMBC Nikko's Core Business Covers The Following Aspects:

1. Investment Banking: Provides Services Such As Mergers And Acquisitions, Initial Public Offerings (IPOs), And Debt Financing To Help Companies Achieve Capital Operation And Market Expansion.
2. Asset Management Business: Provides Customized Asset Allocation Solutions For High Net Worth Individuals And Institutional Clients. The Management Scale Has Reached 1.50 Trillion Yen .
3. Wealth Management Business: Provides Differentiated Services To Individual Clients Through "general Courses" And "direct Courses" To Meet The Investment Needs Of Different Clients.
4. Research Services: Publishes Industry Research Reports, Providing Stock Ratings, Macroeconomic Analysis And Other Information To Help Clients Seize Market Opportunities.

Technical Infrastructure

SMBC Nikko Has Significant Advantages In Technical Infrastructure:

1. AI-driven Risk Management System: Real-time Monitoring Of Market Volatility And Customer Trading Behavior Through Artificial Intelligence And Big Data Technology To Identify Latent Risks.
2. Cloud Computing Platform: Adopts The World's Leading Cloud As A Service Such As AWS And Azure To Ensure High Availability Of Trading Systems And Security Of Data.
3. Digital Operations: Implement A "digital First" Strategy To Optimize The Client Server Process And Improve The Customer Experience.

Compliance And Risk Control System

SMBC Nikko's Compliance And Risk Control System Includes The Following Aspects:

1. Compliance Statement: The Company Strictly Complies With The Regulatory Requirements Of The FSA And Fully Fulfills Its Obligations Such As Anti-money Laundering And Customer Privacy Protection.
2. Risk Management: Adopts A Multi-layered Risk Control System, Including Comprehensive Management Of Market Risk, Credit Risk, And Operational Risk.
3. Internal Control Audits: Conduct Regular Internal Audits To Ensure That All Business Activities Comply With Regulatory Requirements And Internal Standards.

Market Positioning And Competitive Advantage

SMBC Nikko's Market Positioning And Competitive Advantage Are Mainly Reflected In The Following Aspects:

1. Rich Historical Experience: As One Of The Three Major Securities Companies In Japan, SMBC Nikko Has Deep Market Insight Capabilities And Customer Trust.
2. International Business Network: With Branches In Europe, America And Asia, It Is Able To Provide One-stop Financial Services To Global Customers.
3. Innovative Business Model: Continuously Improve Customer Experience And Service Efficiency Through Digital Transformation And Technological Innovation.

Social Responsibility And ESG

SMBC Nikko Attaches Great Importance To Social Responsibility And Sustainable Development:

1. ESG Investment: Drives Environmental, Social And Governance (ESG) Investment To Provide Customers With Products And Services That Are Sustainably Invested.
2. Social Good: Devotes Significant Resources Annually To Support Educational, Cultural And Community Development Projects.
3. Commitment To Carbon Neutrality: The Company Has Committed To Achieving Carbon Neutrality Goals For Its Own Operations By 2030.

Strategic Cooperation Ecology

SMBC Nikko Has Established Strategic Partnerships With Several Well-known Institutions:

1. Cooperation With Technology Companies: Collaborating With Tech Giants Such As IBM And Microsoft To Promote Digital Transformation And Fintech Research And Development.
2. Cooperation With Financial Institution Group: Establishing Long-term Partnerships With International Banks Such As Citibank And JPMorgan Chase To Jointly Expand The Global Market.
3. Cooperation With Industry Associations: As A Core Member Of The Japan Securities Industry Association (JASD), Actively Participates In The Formulation And Improvement Of Industry Standards.

Financial Health

SMBC Nikko's Solid Financial Performance In Recent Years:

• Total Revenue 2022: 1.20 Trillion Yen
Net Profit: 80 Billion Yen
• Capital Adequacy Ratio: 15% (well Above Regulatory Requirement Of 8%)

Future Roadmap

Future Development Of SMBC Nikko The Plan Includes The Following Aspects:

1. Global Expansion: Expand The South East Asia And European Markets And Increase The International Market Share.
2. Digital Transformation: Continuously Increase Investment In Technology To Optimize Client Server And Operational Efficiency.
3. ESG Strategy: Drive ESG Investment And Help Customers Achieve Sustainability Goals.

The Above Is A Detailed Introduction To SMBC Nikko, Covering Everything From Basic Information To Future Development Plans.