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Pillar 3 Risk Disclosures (as of 30th June 2010). Pillar 3 Risk Disclosures (as of 30th June 2011). Pillar 3 Appendix - Remuneration Report 2010. Pillar 3 Risk Disclosures (as of 31st December 2011). Pillar 3 Risk Disclosures (as of 31st December 2012). Pillar 3 Risk Disclosures (as of 31st December 2013). 24 hour global derivatives trading.

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SMBC Capi●●●●●●●●●ets, Inc.

New●●●ork , NY, 10172

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SMBC Capital Markets, Inc.

McGuinness, Oisin

SMBC Capi●●●●●●●●●ets, Inc.

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oi●●●@smbc-cm.com

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SMBC Capital Markets

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SMBC Capital Markets | smbc-cm.com Reviews
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Pillar 3 Risk Disclosures (as of 30th June 2010). Pillar 3 Risk Disclosures (as of 30th June 2011). Pillar 3 Appendix - Remuneration Report 2010. Pillar 3 Risk Disclosures (as of 31st December 2011). Pillar 3 Risk Disclosures (as of 31st December 2012). Pillar 3 Risk Disclosures (as of 31st December 2013). 24 hour global derivatives trading.
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1 home page
2 highlights
3 about us
4 locations
5 hong kong
6 london
7 new york
8 market information
9 weekly commentary
10 pricing complex options
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SMBC Capital Markets | smbc-cm.com Reviews

https://smbc-cm.com

Pillar 3 Risk Disclosures (as of 30th June 2010). Pillar 3 Risk Disclosures (as of 30th June 2011). Pillar 3 Appendix - Remuneration Report 2010. Pillar 3 Risk Disclosures (as of 31st December 2011). Pillar 3 Risk Disclosures (as of 31st December 2012). Pillar 3 Risk Disclosures (as of 31st December 2013). 24 hour global derivatives trading.

INTERNAL PAGES

smbc-cm.com smbc-cm.com
1

SMBC Capital Markets (Asia) Limited

http://www.smbc-cm.com/SiteInfo/frmHongKong.aspx

Pillar 3 Risk Disclosures (as of 30th June 2010). Pillar 3 Risk Disclosures (as of 30th June 2011). Pillar 3 Appendix - Remuneration Report 2010. Pillar 3 Risk Disclosures (as of 31st December 2011). Pillar 3 Risk Disclosures (as of 31st December 2012). Pillar 3 Risk Disclosures (as of 31st December 2013). Hong Kong Office Contact Information. SMBC Capital Markets (Asia) Limited. 7/F One International Finance Centre. 1 Harbour View Street.

2

SMBC Capital Markets: Regulatory Disclosures

http://www.smbc-cm.com/Regulatory/default.aspx

Pillar 3 Risk Disclosures (as of 30th June 2010). Pillar 3 Risk Disclosures (as of 30th June 2011). Pillar 3 Appendix - Remuneration Report 2010. Pillar 3 Risk Disclosures (as of 31st December 2011). Pillar 3 Risk Disclosures (as of 31st December 2012). Pillar 3 Risk Disclosures (as of 31st December 2013). SMBC Capital Markets, Inc. is providing certain disclosures pursuant to CFTC Rule 23.431, through the links below. General Disclosure Statement for Transactions.

3

SMBC Nikko Capital Markets Limited

http://www.smbc-cm.com/SiteInfo/frmLondon.aspx

Pillar 3 Risk Disclosures (as of 30th June 2010). Pillar 3 Risk Disclosures (as of 30th June 2011). Pillar 3 Appendix - Remuneration Report 2010. Pillar 3 Risk Disclosures (as of 31st December 2011). Pillar 3 Risk Disclosures (as of 31st December 2012). Pillar 3 Risk Disclosures (as of 31st December 2013). London Office Contact Information. SMBC Nikko Capital Markets Limited. TEL: 44 (0)20 3527 7000. FAX: 44 (0)20 3527 7500. 44 (0)20 3527 7422. 44 (0)20 3527 7426. 44 (0)20 3527 7434. 44 (0)20 3527 7427.

4

SMBC Capital Markets

http://www.smbc-cm.com/ProdInfo/frmFloatingIndices.aspx

Pillar 3 Risk Disclosures (as of 30th June 2010). Pillar 3 Risk Disclosures (as of 30th June 2011). Pillar 3 Appendix - Remuneration Report 2010. Pillar 3 Risk Disclosures (as of 31st December 2011). Pillar 3 Risk Disclosures (as of 31st December 2012). Pillar 3 Risk Disclosures (as of 31st December 2013).

5

SMBC Capital Markets: Disclaimer

http://www.smbc-cm.com/frmDisclaimer.aspx

Pillar 3 Risk Disclosures (as of 30th June 2010). Pillar 3 Risk Disclosures (as of 30th June 2011). Pillar 3 Appendix - Remuneration Report 2010. Pillar 3 Risk Disclosures (as of 31st December 2011). Pillar 3 Risk Disclosures (as of 31st December 2012). Pillar 3 Risk Disclosures (as of 31st December 2013).

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LINKS TO THIS WEBSITE

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SMBC Nikko Capital Markets, Ltd | Our People

http://www.smbcnikko-cm.com/about-us/our-people.html

CM Ltd Awards and Recognitions. Our Mission and Values. Equity Sales and Trading. Fixed Income Sales and Trading. Ensuring equality and diversity is one of the core tenets of our business, and we are committed to providing an open and welcoming working environment for all. Please see below for our statement on Equality and Diversity:. Equality and Diversity Statement. Securities Trade Confirmation Disclaimer. Sumitomo Mitsui Financial Group Links. SMBC Capital Markets Inc.

smbcnikko-cm.com smbcnikko-cm.com

SMBC Nikko Capital Markets, Ltd | Equity Capital Markets

http://www.smbcnikko-cm.com/our-services/equity-capital-markets.html

CM Ltd Awards and Recognitions. Our Mission and Values. Equity Sales and Trading. Fixed Income Sales and Trading. CM Ltd is an established and prominent participant in the Japanese equity capital markets, offering Japanese corporates, financial institutions and even the Japanese Government with all their equity and equity linked requirements. Securities Trade Confirmation Disclaimer. Sumitomo Mitsui Financial Group Links. SMBC Capital Markets Inc.

smbcnikko-cm.com smbcnikko-cm.com

SMBC Nikko Capital Markets, Ltd | What We Do

http://www.smbcnikko-cm.com/about-us/what-we-do.html

CM Ltd Awards and Recognitions. Our Mission and Values. Equity Sales and Trading. Fixed Income Sales and Trading. Securities Trade Confirmation Disclaimer. Sumitomo Mitsui Financial Group Links. SMBC Capital Markets Inc. The products, services, information and/or materials contained within these web pages may not be available for residents of certain jurisdictions. Please consult the sales restrictions relating to the products or services in question for further information.

smbcnikko-cm.com smbcnikko-cm.com

SMBC Nikko Capital Markets, Ltd | Our Offices

http://www.smbcnikko-cm.com/about-us/offices.html

CM Ltd Awards and Recognitions. Our Mission and Values. Equity Sales and Trading. Fixed Income Sales and Trading. CM Ltd's main office is based in the City of London. CM Ltd London Office. SMBC Nikko Capital Markets Limited. TEL ( 44) (0)20 3527 7000. We have affiliate offices in Tokyo, New York and a subsidiary office in Hong Kong. We also link into the SMBC global network which has offices worldwide. SMBC Nikko Securities Inc. 3-1, Marunouchi 3-chome. TEL ( 81) 3 5644 3111. TEL ( 352) 4428 281. Level 3...

smbcnikko-cm.com smbcnikko-cm.com

SMBC Nikko Capital Markets, Ltd | Home

http://www.smbcnikko-cm.com/home.html

CM Ltd Awards and Recognitions. Our Mission and Values. Equity Sales and Trading. Fixed Income Sales and Trading. Equity Sales and Trading. Fixed Income Sales and Trading. The Debt Capital Markets (DCM) team covers an extensive group of issuers in EMEA, including Corporates, Financial Institutions (FI), Supranational/Sovereign and Agencies (SSA), and Special Purpose Vehicles, supporting them through documentation, structuring, execution, and investor positioning. The DCM desk provides expert advice a...

smbcnikko-cm.com smbcnikko-cm.com

SMBC Nikko Capital Markets, Ltd | M&A

http://www.smbcnikko-cm.com/our-services/ma-advisory-services.html

CM Ltd Awards and Recognitions. Our Mission and Values. Equity Sales and Trading. Fixed Income Sales and Trading. Our highly experienced M&A Advisory Services team builds value for clients by proposing and executing relevant and well-researched business opportunities. Our strong relationships with most of the listed companies in Japan give us access to many unique and valuable business propositions, which may not be offered to other houses. Securities Trade Confirmation Disclaimer.

smbcnikko-cm.com smbcnikko-cm.com

SMBC Nikko Capital Markets, Ltd | Our Approach

http://www.smbcnikko-cm.com/about-us/our-approach.html

CM Ltd Awards and Recognitions. Our Mission and Values. Equity Sales and Trading. Fixed Income Sales and Trading. Working closely with our overseas arms in North America and Asia, we also provide global coverage that enables us to set our sights on adding superb value for our clients and leading the way both in terms of innovation and in the development of highly sought-after financial products. Securities Trade Confirmation Disclaimer. Sumitomo Mitsui Financial Group Links. SMBC Capital Markets Inc.

smbcnikko-cm.com smbcnikko-cm.com

SMBC Nikko Capital Markets, Ltd | Our History

http://www.smbcnikko-cm.com/about-us/history.html

CM Ltd Awards and Recognitions. Our Mission and Values. Equity Sales and Trading. Fixed Income Sales and Trading. CM Ltd has achieved remarkable growth in recent years, in terms of clients, headcount and revenue. With a plan for sustainable growth at the core of our business strategy, we aim to maintain our expansion and continue to deliver increased value and innovative opportunities for our clients. Securities Trade Confirmation Disclaimer. Sumitomo Mitsui Financial Group Links. SMBC Capital Markets Inc.

smbcnikko-cm.com smbcnikko-cm.com

SMBC Nikko Capital Markets, Ltd | Derivatives

http://www.smbcnikko-cm.com/our-services/derivatives.html

CM Ltd Awards and Recognitions. Our Mission and Values. Equity Sales and Trading. Fixed Income Sales and Trading. Our Derivatives team acts as a market maker across all major currencies and a broad base of minor and EM currencies providing liquidity and structuring expertise for our group’s global client base in OTC interest rate, currency and commodity derivatives. Basis Swaps (single and cross currency). Interest Rate Option Products. Caps, Floors and Collars. Long Dated Forward Foreign Exchange.

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SMBC Capital Markets

Pillar 3 Risk Disclosures (as of 30th June 2010). Pillar 3 Risk Disclosures (as of 30th June 2011). Pillar 3 Appendix - Remuneration Report 2010. Pillar 3 Risk Disclosures (as of 31st December 2011). Pillar 3 Risk Disclosures (as of 31st December 2012). Pillar 3 Risk Disclosures (as of 31st December 2013). 24 hour global derivatives trading.

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