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NOMURA Report 2012 (PDF) NOMURA Report 2012 Nomura Holdings, Inc. NOMURA Report 2012 NOMURA Report 2012 The NOMURA Report represents an integrated version of our annual and citizenship reports to help foster broader understanding of our business activities. Our Founder’s Principles have been an integral part of Nomura’s culture for over 80 years. Everything we do is focused on our clients, an approach that reflects our founder’s philosophy of prospering with our clients. With greater economic globalization taking place and following the financial crisis, the importance of companies engaging in corporate social responsibility (CSR) as well as environment, society and governance (ESG) activities has become clear and the expectation for the business increased. In the midst of this, we recognize the value of responding to a changing society while in turn meeting our clients’ needs. As a result of this perspective, and beginning with the fiscal year under review, we have decided to publish the NOMURA Report, which represents an integrated version of our annual and citizenship reports detailing our CSR initiatives. In this manner, we will more actively disclose information to our stakeholders. Through this report, we hope that readers can gain a broader understanding of our efforts as Asia’s global investment bank to help society develop sustainably, and about our business activities that grow together with our stakeholders. 1 NOMURA Report 2012 Contents Nomura Group Highlights 03 Global Network 05 Message from the Group CEO 07 Message from the Group COO 10 Chapter I Business for Sustainability Stakeholder Dialog: Creating a New Business Model to Drive Regional Revitalization 12 At a Glance 15 Retail 17 Asset Management 21 Wholesale 25 Global Research 31 Message from CFO 33 Chapter II Responsible Business Corporate Governance 36 CSR Management 39 Risk Management 41 Compliance 43 Restoring Trust and Credibility 45 Chapter III Citizenship Stakeholder Dialog: Responding to the Voice of Society 48 Our Community 51 Our People 55 Our Environment 59 Data Section Five-Year Financial Summary 63 Key Facts related to CSR 65 Independent Assurance on Environmental Reporting/External Assessment related to CSR 69 Board of Directors/Executive Management Structure 70 Nomura Securities Domestic Network 72 Corporate Data 73 Website Information 74 Report Period April 1, 2011 to March 31, 2012 Forward-Looking Statements (although some content may be outside this timeframe) This report contains forward-looking statements about the future Previous Report September 2011 plans, strategies, beliefs, and performance of the Nomura Group. Next Report August 2013 These forward-looking statements are not historical facts. They are Entities Covered Nomura Holdings, Inc. and its major subsidiaries and affiliates. expectations, estimates, forecasts, and projections based on Numerical data are presented alongside information on the scope of information currently available to the Company and are subject to a companies covered. number of risks, uncertainties, and assumptions, which, without Reference Guidelines • Sustainability Reporting Guidelines (G3.1) of Global Reporting Initiative limitation, include market trends, economic trends, competition in (The GRI Guidelines Index is published on our corporate website at the financial industry, laws and regulations, and the tax system. As the following address. http://www.nomuraholdings.com/csr/) such, actual results may differ materially from those projected. • Environmental Reporting Guidelines (2012 Version) of Japan’s Ministry of the Environment • Charter of Corporate Behavior of Nippon Keidanren NOMURA Report 2012 2 Nomura Group Highlights Business Domains Retail Asset Management Nomura delivers a wide array of financial services to individual and Nomura offers asset management corporate clients through a services globally to retail and nationwide network of 178 branch institutional investors. offices, call centers and online. Retail client assets Total assets under management ¥72.0 trillion ¥24.6 trillion (As of March 31, 2012) (As of March 31, 2012) Wholesale Nomura provides research and distribution, Nomura provides equity and debt financing, structuring and trading of global securities. Fixed Income Investment risk solutions and advisory services to a broad range of international clients. Equities Banking The Tokyo Stock The London Stock Japan-related ECM, Global ECM league Exchange overall Exchange customer DCM and M&A league table*: ranking: ranking: tables*: 1st 1st 1st 10 th * Source: Thomson Reuters (January 2011 – December 2011) for ECM and M&A, and Thomson DealWatch (April 2011 – March 2012) for Japan-related DCM. Net revenue by business segment Income (loss) before income taxes by Number of employees by region business segment (Billions of yen) (Billions of yen) (People) 1,500 400 40,000 Other Asia-Pacific 1,000 200 Other 30,000 Asset Management Americas Wholesale Europe 500 0 Retail 20,000 Asset Management Wholesale Retail 0 –200 10,000 Japan –500 –800 0 2007/08 2008/09 2009/10 2010/11 2011/12 (Fiscal year) 2007/08 2008/09 2009/10 2010/11 2011/12 (Fiscal year) 2007/08 2008/09 2009/10 2010/11 2011/12 (Fiscal year) 3 NOMURA Report 2012 External Assessment Nomura’s CSR initiatives have won strong commendations. We have been included in the Dow Jones Sustainability Indexes, the FTSE4Good ESG Ratings: Nomura recognized as a FTSE4Good Index and the MS-SRI Index (as of January 2012). Supersector leader Nomura Holdings was recognized as Supersector leader for the second consecutive year in FTSE4Good ESG Ratings*. In fiscal 2011, Nomura was recognized as first in the financial services sector and first among Japanese companies. (as of March 2012) * FTSE4Good ESG Ratings: An assessment of 2,300 companies around the world conducted by FTSE, a subsidiary of the London Stock Exchange, and EIRIS, a socially responsible investing research firm. Memberships Nomura belongs to and is an active member of numerous business and trade associations, including: • Nippon Keidanren • Principles for Financial Action towards a • British Bankers Association • Japan Securities Dealers Association Sustainable Society (Principles for • Confederation of British Industry • The Investment Trusts Association, Japan Financial Action for the 21st Century) • Institute of International Finance • Japan Securities Investment Advisers • World Economic Forum • Opportunity Now (Gender equality Association • UN PRI (Principles for Responsible organization) • The Financial Futures Association of Japan Investment) • Employer’s Forum on Disability • KEIZAI DOYUKAI (Japan Association of • Banking Environment Initiative • The Japan Society Corporate Executives) • Association of Financial Markets Europe Total risk-weighted assets and Tier 1 ratio Total assets Short-term and long-term unsecured debt (Billions of yen) (%) (Trillions of yen) (Billions of yen) 15,000 20 40 10,000 12,000 16 8,000 30 Tier 1 ratio Short-term unsecured debt 9,000 12 6,000 Total 20 risk-weighted Long-term assets unsecured 6,000 8 4,000 debt 10 3,000 4 2,000 0 0 0 0 2008/09 2009/10 2010/11 2011/12 (Fiscal year) 2007/08 2008/09 2009/10 2010/11 2011/12 (Fiscal year) 2007/08 2008/09 2009/10 2010/11 2011/12 (Fiscal year) NOMURA Report 2012 4 Global Network 276 sites in 39 countries (consolidated subsidiaries and companies accounted for by the equity method) London Tokyo New York Hong Kong Singapore Major Subsidiaries and Affiliates Europe & Middle East Asia Pacific Japan Americas Capital Nomura Securities Public Company Limited * Nomura Securities Co., Ltd. Nomura Healthcare Co., Ltd. Retail Nomura Agri Planning & Advisory Co., Ltd. Nomura Farm Co., Ltd. Nomura Asset Management U.K. Limited Nomura Asset Management Hong Kong Ltd. Nomura Asset Management Co., Ltd. Nomura Asset Management USA Inc. Nomura Asset Management Deutschland KAG mbH Head and branch offices and business offices: Nomura Funds Research and Technologies Co., Ltd. Nomura Global Alpha LLC Asset Hong Kong, Shanghai Nomura Private Equity Capital Co., Ltd. Nomura Corporate Research and Asset Management Inc. Nomura Asset Management Singapore Ltd. Nomura Funds Research and Technologies America, Inc. Management Nomura Asset Management Malaysia Sdn. Bhd. Nomura Islamic Asset Management Sdn. Bhd. Nomura Asset Management Australia Pty Limited Nomura Europe Holdings PLC Nomura Asia Holding N.V. Nomura Securities Co., Ltd. Nomura Holding America Inc. Nomura International PLC Nomura International (Hong Kong) Limited Nomura Capital Investment Co., Ltd. Head and branch offices and business offices: New York, Washington, D.C. Head and branch offices and business offices: London, Madrid, Vienna, Head and branch offices and business offices: Nomura Principal Finance Co., Ltd. Nomura Securities International, Inc. Dubai, Qatar Hong Kong, Taipei, Hanoi Head and branch offices and business offices: New York, Atlanta, São Paulo, Nomura Bank International PLC Nomura Singapore Limited San Francisco, Chicago, Houston, Boston, Miami, Los Angeles Head and branch offices and business offices: London, Italy, Labuan Wholesale Other affiliated company locations INSTINET INCORPORATED Nomura Principal Investment PLC Singapore, Kuala Lumpur, Sydney, Manila, Jakarta, Seoul, Other affiliated company locations Nomura Capital Markets PLC Bangkok, Shanghai, Powai, Mumbai Toronto Other affiliated company locations Amsterdam, Paris, Luxembourg, Zurich, Milan, Warsaw, Moscow, Bahrain, Dublin Nomura Bank (Luxembourg) S.A. Other affiliated company locations The Nomura Trust & Banking
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