Nomura Holding America Inc. | Business Continuity Plan

Business Continuity Overview

Nomura Holding America Inc. ("NHA"), its subsidiaries and certain other Nomura Group entities in the Americas to which NHA supplies business continuity services (collectively, the "Firms," which specifically includes Nomura Securities International, Inc., Nomura Global Financial Products Inc., and Nomura Derivative Products, Inc.) have created a Business Continuity Plan ("BCP" or "Plan") to facilitate the continuation of operations following the occurrence of an emergency situation or significant business disruption. The Plan focuses on promoting employee safety, facilitating rapid response and decision-making, minimizing business disruptions, and providing a foundation for resuming interrupted operations and services as quickly and efficiently as possible. The Plan contemplates disruption of varying scope, including but not limited to, major technology and power outages, natural disasters, terrorism, and physical damage to offices or data center facilities such that employee access is not permitted. Of course, despite this "all hazards" approach to business continuity planning, no plan can anticipate all possible occurrences or guarantee the recovery of all services where the emergency event results in a significant loss of life and or physical assets.

Plan Elements

The Firms' Plan incorporates the following core elements:

Crisis Management

The Firms recognize that a successful response to a significant business disruption hinges on an effective command, control and communications program. To this end, the Plan uses an incident management program that brings together key leadership in a formal team structure. This team can analyze quickly the impact of an incident and take appropriate action. The Firms use multiple communications technologies to ensure that team members remain connected in an emergency.

Business Planning

The Firms mandate that business lines and support functions develop measures to account for all critical business processes in emergency circumstances. These measures include, but are not limited to:

  • Identification and prioritization of essential systems
  • Contingencies to recover and utilize such systems at alternate locations
  • Compilation of contact information for staff, clients, counterparties, and regulators

Systems and Data Recovery

The Plan's effectiveness depends in part on the creation and maintenance of a highly resilient technology infrastructure. The Firms maintain multiple data center facilities, which serve to eliminate a single point of failure. The Firms also maintain multiple network connections across their data center facilities to provide maximum resilience. All critical systems are backed up daily and the data is stored at an off-site location.

Workspace Recovery

The Firms have constructed a state-of-the-art workspace recovery facility outside of New York City. This facility provides sufficient capacity to allow all major lines of business to continue operations in the event that the Firms' normal physical workspaces in New York City become unavailable.

Testing Program

The Firms have developed a BCP / Disaster Recovery testing program to ensure that all components of the Plan are accurate, updated and meet expected goals. This testing program encompasses all critical applications, simulations at the workspace recovery facility and incident management drills.

Client Information

In the event of an emergency situation, clients may contact an Emergency Hotline at 1-888-NOMURA6 (1-888-666-8726) for status of operations.

Clients may also send an e-mail to clientservices@nomura.com which is monitored by Customer Operations Support.

A copy of this BCP overview is available upon request by sending an e-mail to
clientservices@nomura.com.

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