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Management Systems and CSR Activities Management Systems and CSR Activities p48 Top Management p58 Risk Management p50 Corporate Governance p62 Financial Strategy p52 Corporate Governance Committee System p63 Human Resource Management p53 Compliance p66 CSR Initiatives p54 IT Strategy and Information Security p56 Disclosure DAIWA SECURITIES GROUP ANNUAL REPORT 200 47 Management S ystems and CSR A c t i v i t i e s Top Management Directors Executive Officers Chairman of the Board Shigeharu Suzuki Shin Yoshidome President and CEO Deputy President and COO Akira Kiyota Head of Retail (Representative) President, Daiwa Securities Head of Wholesale Co. Ltd. President, Daiwa Securities Directors Capital Markets Co. Ltd. Shigeharu Suzuki Shin Yoshidome 19 Joined Daiwa Securities Co. Ltd. 19 Joined Daiwa Securities Co. Ltd. 1997 Director, Chief Corporate Institutions Officer 2000 Deputy Head of Nagoya Branch, Daiwa SBCM Co. Ltd. Takashi Hibino 1998 Managing Director (currently Daiwa Securities Capital Markets Co. Ltd.) 2001 Senior Managing Director 2001 Executive Officer Makoto Shirakawa 2002 Senior Managing Director, Daiwa Securities SMBC Co. Ltd. 2004 Senior Executive Officer (currently Daiwa Securities Capital Markets Co. Ltd.) Managing Director 2003 Representative Senior Managing Director 2006 Director and Corporate Executive Nobuyuki Iwamoto 2004 Director, President and CEO, Vice President, Daiwa Securities Group Inc. Daiwa Securities Group Inc. Representative Senior Managing Director, Takatoshi Wakabayashi Head of Retail Daiwa Securities SMBC Co. Ltd. President, Daiwa Securities Co. Ltd. (currently Daiwa Securities Capital Markets Co. Ltd.) Kazuo Oda 2007 Director, Deputy President and COO, (Representative) Daiwa Securities Group Inc. Head of Wholesale Saburo Jifuku President, Daiwa Securities SMBC Co. Ltd. Tetsuro Kawakami Ryuji Yasuda Takashi Hibino Makoto Shirakawa Deputy President Deputy President Koichi Uno Deputy Head of Wholesale Deputy Head of Retail Deputy President, Daiwa Deputy President, Daiwa Nobuko Matsubara Securities Capital Markets Co. Ltd. Securities Co. Ltd. Keiichi Tadaki 199 Joined Daiwa Securities Co. Ltd. 198 Joined Daiwa Securities Co. Ltd. 2002 Head of Corporate Planning Department, 2003 Head of Financial Institutions Dept. I Daiwa Securities Group Inc. Daiwa Securities SMBC Co. Ltd. Executive Officer, Daiwa Securities SMBC Co. Ltd. (currently Daiwa Securities Capital Markets Co. Ltd.) (currently Daiwa Securities Capital Markets Co. Ltd.) 2004 Executive Officer, Daiwa Securities Co. Ltd. 2004 Senior Executive Officer, Daiwa Securities Group Inc. 200 Managing Director Director and Corporate Senior Executive Officer 2007 Senior Managing Director 2007 Director and Corporate Executive Vice President 2009 Deputy President, Daiwa Securities Group Inc. 2008 Deputy Head of Wholesale Deputy Head of Retail Senior Managing Executive Officer, Deputy President, Daiwa Securities Co. Ltd. Daiwa Securities SMBC Co. Ltd. 200 Director and Deputy President, Daiwa Securities Group Inc. 2009 Director and Deputy President, Daiwa Securities Group Inc. Deputy Head of Wholesale Deputy President, Daiwa Securities SMBC Co. Ltd. Masaki Shimazu Toshiro Ishibashi Deputy President Deputy President Deputy Head of Retail Head of Asset Management Deputy President, Daiwa President, Daiwa Asset Securities Co. Ltd. Management Co. Ltd. Chairman of the Board, Daiwa Securities SMBC Principal Investments Co. Ltd. Chairman of the Board, Daiwa PI Partners Co. Ltd. 19 Joined Daiwa Securities Co. Ltd. 193 Joined Daiwa Securities Co. Ltd. 2003 Deputy Head of Fund Management Division, 1998 Director, Chief Investment Banking Officer Daiwa Asset Management Co. Ltd. 1999 Executive Officer, Daiwa SBCM Co. Ltd. Executive Officer (currently Daiwa Securities Capital Markets Co. Ltd.) 2004 Executive Officer, Daiwa Securities Co. Ltd. 2003 Managing Director, Daiwa Securities Co. Ltd. 200 Managing Director 2005 Senior Managing Director 2007 Representative Senior Managing Director 2007 Representative Senior Managing Director 200 Deputy President, Daiwa Securities Group Inc. 2008 Director and Deputy President, Deputy Head of Retail Daiwa Securities Group Inc. Deputy President, Daiwa Securities Co. Ltd. Deputy President, Daiwa Securities Co. Ltd. Chairman of the Board, Daiwa Securities SMBC 2009 Deputy President, Principal Investments Co. Ltd. Daiwa Securities Group Inc. Chairman of the Board, Daiwa PI Partners Co. Ltd. Head of Asset Management President, Daiwa Asset Management Co. Ltd. 8 DAIWA SECURITIES GROUP ANNUAL REPORT 200 Executive Officers Takashi Fukai Nobuyuki Iwamoto Takatoshi Wakabayashi Deputy President Corporate Executive Vice Corporate Executive Vice Head of Research President and CFO President and CRO President, Daiwa Institute of Chief Planning/ Representative Senior Research Holdings Ltd. Personnel Officer Managing Director, President, Daiwa Institute of Daiwa Securities Capital Research Ltd. Markets Co. Ltd. President, Daiwa Institute of Research Business Innovation Ltd. 198 Joined Daiwa Securities Co. Ltd. 1980 Joined Daiwa Securities Co. Ltd. 1980 Joined Daiwa Securities Co. Ltd. 200 Head of Kobe Branch 200 Head of International Finance Department, 2004 Head of Personnel Department and Assistant to Head of 2002 Executive Officer Daiwa Securities SMBC Co. Ltd. Planning, Daiwa Securities Group Inc. 200 Managing Director (currently Daiwa Securities Capital Markets Co. Ltd.) 2005 Corporate Executive Officer 2007 Senior Managing Director 2005 Corporate Executive Officer and CFO, Chief Legal Officer, Deputy Chief Personnel Officer and Head 2009 Director and Deputy President, Daiwa Securities Group Inc. Daiwa Securities Group Inc. of Personnel Department Deputy Head of Retail 2006 Director and Corporate Executive Officer 2007 Executive Officer, Daiwa Securities SMBC Co. Ltd. Deputy President, Daiwa Securities Co. Ltd. 2008 Director and Corporate Senior Executive Officer (currently Daiwa Securities Capital Markets Co. Ltd.) 200 Deputy President, Daiwa Securities Group Inc. 2009 Director, Corporate Executive Vice President and CFO, 2008 Senior Executive Officer Head of Research Daiwa Securities Group Inc. 2009 Representative Managing Director President, Daiwa Institute of Research Holdings Ltd. Chief Planning/Personnel Officer 200 Director, Corporate Executive Vice President and CRO, President, Daiwa Institute of Research Ltd. Daiwa Securities Group Inc. President, Daiwa Institute of Research Business Innovation Ltd. Representative Senior Managing Director, Daiwa Securities Capital Markets Co. Ltd. Kazuo Oda Keiko Uehara Toshihiro Matsui Corporate Senior Executive Corporate Executive Officer Corporate Executive Officer Officer and CIO Head of Corporate Deputy Chief Planning/ Managing Director, Communications Personnel Officer Daiwa Securities Capital Markets Co. Ltd. Senior Managing Director, Daiwa Institute of Research Ltd. 19 Joined Daiwa Securities Co. Ltd. 1982 Joined Daiwa Securities Co. Ltd. 198 Joined Daiwa Securities Co. Ltd. 1994 Head of Corporate System Development Department, 200 Head of Education and Training Department 2008 Head of Corporate Planning Department, Daiwa Institute of Research Ltd. 2009 Corporate Executive Officer, Daiwa Securities Group Inc. Daiwa Securities Group Inc. (currently Daiwa Institute of Research Holdings Ltd.) Head of Corporate Communications 2009 Corporate Executive Officer 1999 Advisor Chief Legal Officer 2002 Executive Officer Deputy Chief Planning Officer 2004 Senior Executive Officer Head of Corporate Planning Department 2007 Senior Managing Director 200 Deputy Chief Planning/Personnel Officer 2008 Representative Senior Managing Director, Daiwa Institute of Research Ltd. 2009 Director, Corporate Senior Executive Officer and CIO, Daiwa Securities Group Inc. Senior Managing Director, Daiwa Institute of Research Ltd. 200 Managing Director, Daiwa Securities Capital Markets Co. Ltd. Tetsuo Akuzawa Akira Kiyota Corporate Executive Officer Corporate Executive Officer Chief Legal Officer Deputy Chief Personnel Officer Head of Secretariat Office Head of Personnel Department 198 Joined Daiwa Securities Co. Ltd. 199 Joined Daiwa Securities Co. Ltd. 2008 Head of Personnel Department, Daiwa Securities Group Inc. 1994 Director, Deputy Head of Sales Division, and Head of East 200 Corporate Executive Officer Division Chief Legal Officer 199 Managing Director Deputy Chief Personnel Officer Representative Managing Director Head of Secretariat Office Deputy President Head of Personnel Department 1999 President, Daiwa SBCM Co. Ltd. (currently Daiwa Securities Capital Markets Co. Ltd.) 2004 Deputy Chairman of the Board and Corporate Executive Officer, Daiwa Securities Group Inc. Chairman of the Institute, Daiwa Institute of Research Ltd. 2005 Director, Daiwa Institute of Research Ltd. 2008 Chairman of the Board and Corporate Executive Officer, Daiwa Securities Group Inc. DAIWA SECURITIES GROUP ANNUAL REPORT 200 9 Management S ystems and CSR A c t i v i t i e s Corporate Governance The Daiwa Securities Group is committed to creating a highly transparent and objective corporate governance system consistent with international standards. We clearly separate the supervisory and executive functions of man- agement and maximize each Group company’s independence and expertise while establishing a Group management structure that highlights synergies between the Group companies. Features of the Corporate Governance System selection standards for the appointment of directors. These standards In 999, the Daiwa Securities Group became the first listed Japanese include criteria
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