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2020 NSI FCM Disclosure Document

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2020 NSI FCM Disclosure Document – NOMURA SECURITIES INTERNATIONAL, INC. FUTURES COMMISSION MERCHANT DISCLOSURE DOCUMENT PURSUANT TO COMMODITY FUTURES TRADING COMMISSION RULE 1.55(i), 1.55(k), AND 1.55(O) The Commodity Futures Trading Commission (“Commission” or “CFTC”) requires each futures commission merchant (“FCM”), including Nomura Securities International, Inc. (“NSI”), to provide the following information to a customer prior to the time the customer first enters into an account agreement with the FCM or deposits money or securities (“funds”) with the FCM. Except as otherwise noted, the information set out is as of December 9, 2020. NSI will update this information annually and as necessary to take account of any material change to its business operations, financial condition or other factors that NSI believes may be material to a customer’s decision to use NSI for FCM-related business. Nonetheless, NSI’s business activities and financial data are not static and may change in non-material ways frequently throughout any 12-month period. In addition, NSI is a wholly-owned subsidiary of Nomura Holding America Inc., which is, in turn, a wholly-owned subsidiary of Nomura Holdings, Inc. Information that may be material with respect to NSI for purposes of the Commission’s FCM disclosure requirements may not be material to Nomura Holding America Inc. or Nomura Holdings, Inc. for purposes of applicable securities laws. As of December 9, 2020 This disclsoure document was first used on July 12, 2014, and has been updated periodically. Table of Contents I. Contact Information II. FCM Designated Self-Regulatory Organization (DSRO) III. FCM Principals IV. Business Activities and Product Lines; Percentage of Assets and Capital Used for Each Activity V. FCM Customer Business VI. Permitted Depositories and Counterparties VII. Material Risks VIII. Material Complaints or Actions IX. Customer Funds Segregation Overview X. Relevant Financial Data XI. Financial Information Available from the National Futures Association and CFTC XII. Summary of Current Risk Practices, Controls and Procedures XIII. Filing a Complaint 1 I. Contact Information Nomura Securities International, Inc. 309 West 49th Street, New York, NY 10019 Tel: (212) 667-9000; Fax: (212) 667-9100 Contact NSI: https://www.nomuraholdings.com/cgi-bin/feedback.cgi II. FCM Designated Self-Regulatory Organization (DSRO) Chicago Board of Trade (CBOT) CME Group Inc. 20 South Wacker Drive, Chicago, Illinois 60606 Tel: (312) 930-1000; Fax: (312) 466-4410 www.cmegroup.com III. FCM Principals (all business addresses are the NSI contact address listed above) James DeNaut President and Chief Executive Officer Senior Managing Director Mr. DeNaut is a Senior Managing Director, President and Chief Executive Officer of NSI. Mr. DeNaut previously served as the Head of Investment Banking Americas and Joint Head of International Investment Banking . Mr. DeNaut joined Nomura in 2010 from Deutsche Bank, where he spent ten years in a number of senior roles, including Head of Global Banking Americas. Prior to joining Deutsche Bank, Mr. DeNaut was a Managing Director in the Global Energy Group at Morgan Stanley. Yo Akatsuka Senior Managing Director Chairman, Board of Directors Yo Akatsuka is Senior Managing Director of Nomura Holdings, Inc., Chief Executive Officer, President and Senior Managing Director of Nomura Holding America Inc. and Chairman, Board of Directors of NSI. Over the course of his 30-year career at the Nomura Group, Mr. Akatsuka has held senior management positions in a wide range of departments and businesses – most recently, as Global Head of Investment Banking. Previously, as a Senior Corporate Managing Director in the Retail Division, he oversaw Business Strategy and Management and was responsible for Innovations. Prior to that, he served at various times as Senior Managing Director of the Group Strategy & Executive Office, the Asia Strategy Office, the Data Management Office and the Financial Innovation Office, as well as Head of the ECM Department, Capital Markets Department, Equity Product Solutions and Equity Syndicate in London. Earlier in his career with the Firm, Mr. Akatsuka worked as an investment banker in Nagoya and Hong Kong, a private banker for Asian wealth clients in Hong Kong and a sales representative at the Nishinomiya, Japan branch office. Jonathan Raiff Senior Managing Director Mr. Raiff is a Senior Managing Director and is the Head of Global Markets Americas. Mr. Raiff is responsible for all Global Markets activities in the Americas across all Equities and Fixed Income products including Credit, Rates, Equity Derivatives, Financing and Foreign Exchange. During his tenure at Nomura, Mr. Raiff has held positions including the Head of CMO Trading, Head of Securitized Products Trading Americas, and the Head of Trading for Macro Products Americas and Structured Credit Americas. Mr. Raiff joined Nomura in 2009 from Mizuho Securities where he was most recently Head of Mortgage Trading. Prior to joining Mizuho, Mr. Raiff was Head of CMO Trading at UBS Securities, where he worked for twelve years, was Principal and Co-Founder of The Mortgage Research Group Inc. and worked at Bear Stearns in Mortgage Research. 2 Steven Aloupis Managing Director & Chief Operating Officer Mr. Aloupis is a Managing Director and Chief Operating Officer of NSI and Nomura Holding America Inc. Prior to joining Nomura in February 2018, Mr. Aloupis held various positions over a 16-year period with Standard Chartered Bank (SCB), including CEO and President of Standard Chartered Securities (North America) Inc., Head of Corporate Finance Americas and Head of Capital Markets Americas and Europe. He was also a member of Americas, Global Corporate Finance, Global Markets, Debt Commitments and Global Business Leadership Management Committees. Prior to joining SCB, Mr. Aloupis was a Managing Director at BHF Capital, spent several years at ING Barings, and was in the Structured Finance Group at WestLB. Mr. Aloupis began his career in the Valuation Service Group at Coopers & Lybrand. Patrick McGarry Managing Director & Chief Risk Officer Mr. McGarry is a Managing Director and serves as Chief Risk Officer for the Americas, responsible for overseeing all market, credit and operational risk for the Americas’ business activities. He has been in this role since January of 2018. He is also a member of the America’s Executive Management Committee. Mr. McGarry joined Nomura in 2008 from Lehman Brothers where he was Head of Asia Investment Committee and Credit Risk Management , and previously served as the Global Head of Underwriting Commitments. Mr. McGarry has performed various management roles at Nomura initially based in Tokyo, Japan, but moved to London in 2009 to take on various roles within Global Markets, including COO of the Global Credit Products Business as well as a senior role in Global CVA. Mr. McGarry joined the Risk Management Group in 2013 as Regional Head of Credit for the EMEA region and also chaired the Debt Loan and Non-Standard Transaction Committees. Faron Webb Managing Director, Chief Legal Officer and Head of Compliance Mr. Webb is a Managing Director and serves as the Chief Legal Officer and Head of Compliance in the Americas for Nomura. Mr. Webb serves as Executive Managing Director and General Counsel of Instinet Incorporated. In these capacities, Mr. Webb oversees Nomura’s legal and compliance functions in the Americas and Instinet’s parallel functions globally. Mr. Webb is also a member of several Nomura and Instinet senior management and governance committees. Prior to joining Nomura in 2004, Mr. Webb served as a Managing Director at Societe Generale and Chief Compliance Officer of its subsidiary, Cowen & Co. Mr. Webb also served as Head of US Equity Compliance at JP Morgan, as a senior attorney/regulatory advisor at PaineWebber and as an attorney in the Enforcement Division of the US Securities and Exchange Commission. Eugene Chiulli Managing Director & Chief Financial Officer Mr. Chiulli is a Managing Director and Chief Financial Officer, Americas at Nomura Holding America. Mr. Chiulli has extensive industry experience, spending over 25 years covering products in the Retail Banking, Asset Management, Wealth Management and Capital Market sectors of the financial services industry. Most recently, Mr. Chiulli spent eight years at RBC Capital Markets LLC, the broker-dealer subsidiary of Royal Bank of Canada in the U.S., and was the US Controller for RBC and the CFO for its largest entity, RBC Capital Markets as well as the RBC Asset Manager "GAM.” Prior to RBC, he worked at JP Morgan and Bear Stearns. Mr. Chiulli is an active member of SIFMA and is the former Treasurer of the Institute of International Bankers. Eric Miller Managing Director Mr. Miller is a Managing Director and serves as the Head of Americas Client Financing and Solutions (CFS). Mr. Miller previously served as the Joint Head of Fixed Income Sales for Global Markets Americas, where he was responsible for the buy and sell-side strategy of Flow products for the Americas Region. Mr. Miller joined Nomura in 2013 as Head of Rates, where he led growth initiatives for Nomura’s distribution of Rates products, and was named Head of Macro Sales in 2015. Prior to joining Nomura, Mr. Miller worked at Credit Suisse for 13 years, where he was most recently Co -Head of Rate Sales in the Americas. 3 Michael Rintoul Managing Director Mr. Rintoul is a Managing Director and the Head of Americas Investment Banking at Nomura. Mr. Rintoul previously served as Head of Americas Corporate Finance and Global Head of Business Services Investment Banking. Mr. Rintoul joined Nomura in June 2014 as a Managing Director and Head of Business Services Investment Banking, Americas. Prior to joining Nomura, he was at Jefferies where he was Global Head of the Business Services Group. Mr. Rintoul joined Jefferies in 2010 from UBS, where he was a Managing Director and Global Head of Technology Services Investment Banking. David Leibowitz Member, Board of Directors Mr.
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