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NAM Tokyo – Broker List

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NAM Tokyo – Broker List Nomura Asset Management Co. Ltd. List of Brokers Name of Brokers Location Securities Equity 1 Daiwa Capital Markets Europe Ltd. 2 Daiwa Capital Markets Hong Kong Ltd. 3 Daiwa Capital Markets America Inc. 4 Daiwa-Cathay Capital Markets Co., Ltd. 5 Daiwa Securities Capital Markets Korea Co.,Ltd. 6 Daiwa Capital Markets India Private Ltd. 7 Daiwa-Cathay Capital Markets Co., Ltd. 8 Daiwa Securities Capital Markets Co., Ltd. Seoul Branch 9 J.P. Morgan Securities plc 10 Instinet Pacific Ltd. 11 Nomura Financial Investment (Korea) Co. Ltd. 12 Nomura International (Hong Kong) Ltd. Taipei Branch 13 Nomura Financial Advisory and Securities (India) Private Ltd. 14 UBS Securities LLC 15 UBS Ltd. 16 UBS Securities Asia Ltd. 17 UBS Securities Canada Inc. 18 Merrill Lynch International 19 Merrill Lynch, Pierce, Fenner & Smith Inc. 20 DSP Merrill Lynch Ltd. 21 Citigroup Global Markets Ltd. 22 Citigroup Global Markets Korea Securities Ltd. 23 Citigroup Global Markets Inc. 24 Citigroup Global Markets Taiwan Securities Company Ltd. 25 Citigroup Global Markets India Private Ltd. 26 Societe Generale, London Branch 27 Sg Securities (HK) Ltd. 28 Sg Americas Securities Newyork 29 CLSA Australia Pty Ltd. 30 CLSA Ltd. 31 CLSA India Private Ltd. 32 CLSA Securities Korea Ltd. 33 CL Securities Taiwan Company Ltd. 34 Morgan Stanley & Co LLC, New York 35 Morgan Stanley & Co International plc, London 36 Morgan Stanley India Company Pvt Ltd. 1 Name of Brokers Location Securities 37 Morgan Stanley & Co Intl plc, Seoul Branch 38 Morgan Stanley Taiwan Ltd. 39 Goldman Sachs International 40 Credit Suisse Equities (Australia) Ltd. 41 Credit Suisse (Hong Kong) Ltd. 42 Credit Suisse Securities (Europe) LTD, Seoul Branch 43 Credit Suisse AG, Taipei Securities Branch 44 Credit Suisse Securities (Europe) Ltd. 45 Credit Suisse Securities (USA) LLC 46 Credit Suisse Securities (India) Private LTD 47 Credit Suisse (Brasil) SA 48 Deutsche Bank A.G. London 49 Deutsche Bank Securities Inc., New York 50 Deutsche Securities Asia Ltd. 51 Deutsche Equities India Private Ltd. 52 Deutsche Securities Korea Company, Seoul 53 Deutsche Securities Asia Ltd., Taipei Branch 54 Deutsche Securities Inc 55 BNP Paribas Securities (Asia) Ltd. 56 Nomura International PLC London 57 Mizuho Securities Asia Ltd. 58 MUFG Securities EMEA plc 59 Credit Suisse Securities(Hong Kong) Ltd. 60 SMBC Nikko Capital Markets Ltd. Algorithmic Trading 1 Equity Sales 2 from Nomura 2 Electronic Trading from Daiwa 3 Electronic Trading Team from Mizuho 4 Trading Technology Department from Mitsubishi UFJ Morgan Stanley 5 MSET from Morgan Stanley 6 Electronic Execution from Citi 7 Electronic Trading from UBS 8 GSET from Goldman Sachs 9 Advanced Execution Services from Credit Suisse 10 Autobahn Equity from Deutsche Bank 11 Electronic Client Services from J.P.Morgan 12 Asia Pacific Electronic Trading from Merrill Lynch 13 Execution Service from SMBC Nikko Fixed Income 1 Australia & New Zealand Banking Group Ltd (ANZ Melbourne) 2 Bank of Montreal 2 Name of Brokers Location Securities 3 Bank of Nova Scotia Asia Ltd. 4 Barclays Capital Japan Ltd. 5 Barclays Capital Inc./New York 6 Barclays Bank PLC., London 7 BNP PARIBAS Securities (Japan) Ltd. 8 BNP PARIBAS Sydney Branch 9 BNP PARIBAS (SA) 10 CIBC World Markets Inc. 11 Citigroup Global Markets Japan Inc. 12 Citigroup Global Markets Ltd. 13 Citigroup Global Markets Inc. 14 Banco Citibank S.A. 15 Citibank Colombia S.A. 16 Commonwealth Bank of Australia, Sydney Head office 17 Commonwealth Bank of Australia, London Branch 18 Credit Agricole Securities Asia BV, Tokyo Branch 19 Credit Agricole Corporate And Investment Bank 20 Credit Suisse Securities (Japan) Ltd. 21 Credit Suisse Securities (USA) LLC 22 Credit Suisse Securities (Europe) 23 Credit Suisse International 24 Daiwa Securities Co., Ltd. 25 Daiwa Capital Markets America Inc. 26 Daiwa Capital Markets Europe Ltd. 27 Deutsche Securities Inc. 28 Deutsche Bank AG, London 29 Deutsche Bank AG, Frankfurt 30 Goldman Sachs Japan Cp., Ltd. 31 Goldman Sachs International 32 Goldman Sachs & Co. LLC 33 HSBC Securities (Japan) Ltd. 34 HSBC Bank plc, London 35 Itau Asia Securities Ltd. 36 Itau BBA USA Securities Inc. 37 J.P. Morgan Securities Japan Co., Ltd. 38 J.P. Morgan Securities LLC 39 J.P. Morgan Securities plc 40 Banco J.P. Morgan S/A 41 JPMorgan Securities Asia Ltd., Singapore 42 Merrill Lynch Japan Securities Co., Ltd. 3 Name of Brokers Location Securities 43 Merrill Lynch,Pierce, Fenner & Smith Incorporated 44 Merrill Lynch International 45 Merrill Lynch Int'l Inc., Seoul Branch 46 Bank of America Merrill Lynch Banco Múltiplo S.A. 47 Mitsubishi UFJ Morgan Stanley Securities Co Ltd. 48 MUFG Securities EMEA plc 49 Mizuho Securities Co.,Ltd. 50 Mizuho Securities USA LLC 51 Mizuho International plc 52 Morgan Stanley MUFG Securities Co., Ltd. 53 Morgan Stanley & Cp International PLC 54 National Australia Bank Ltd. 55 Natixis 56 Nomura Securities Co., Ltd. 57 Nomura International Plc. 58 Nomura Securities International, Inc. 59 Nordea Bank AB 60 Okasan Securities Co Ltd. 61 RBC Capital Markets, LLC. 62 RBC Dominion Securities Inc., Toronto 63 RBC Europe Ltd. 64 Royal Bank of Canada, Sydney 65 RBS Securities Japan Ltd. 66 RBS Securities Inc. 67 The Royal Bank of Scotland plc 68 Skandinaviska Enskilda Banken AB (publ), Stockholm 69 Shinkin Securities Co., Ltd. 70 Shinsei Securities Co., Ltd. 71 Smbc Friend Securities Co., Ltd. 72 SMBC Nikko Securities Inc. 73 SMBC Nikko Capital Markets Ltd. 74 Societe Generale Securities Japan Ltd. 75 Societe Generale 76 Standard Chartered Bank 77 Standard Chartered Bank の Singapore Branch 78 Tokai Tokyo Securities Co.,Ltd. 79 The Toronto-Dominion Bank 80 UBS Securities Japan Co., Ltd. 81 UBS Securities LLC 82 UBS Ltd. 4 Name of Brokers Location Securities 83 UBS AG London Branch 84 Westpac Banking Corporation Sydney 85 DBJ SECURITIES CO., Ltd. FX 1 BNP Paribas Tokyo 2 Merrill Lynch International 3 Citibank, N.A., London Branch 4 Deutsche bank AG London 5 The Hongkong and Shanghai Banking Corporation Ltd., Tokyo 6 Morgan Stanley & Co. International Plc 7 Nomura International plc 8 The Royal Bank of Scotland plc 9 UBS AG ,London 5 .
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