Awards & Recognition

Global MarketsInvestment BankingAsset ManagementSustainabilityOthers

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Publication	Award	Category	Date
Refinitiv	StarMine Analyst Awards Japan 2020	Top Stock Pickers [Sector] No.1 Automobiles (Masataka Kunugimoto) Top Earnings Estimator [Sector] No.1 Household Durables (Daisuke Fukushima), Telecommunications (Daisaku Masuno)	October 2020
Institutional Investor	All-Asia Research Team survey	Best India Research Analysts of the Year, weighted by commissions #2 Health Care & Pharmaceuticals Best Taiwan Research Analysts of the Year, weighted by commissions #1 & 2 Information Technology	July 2020
	Japan's Top Corporate Access Providers ranking	#1 corporate access provider (as chosen by investors)	April 2020
	All-Japan Research Team Ranking	#1 equity research provider No.1 ranked: Banks, Electronics/Industrial, Electronics/Precision Instruments, Machinery, Medical Technologies & Services No.2 ranked: Telecommunications, Autos, Electronics / Components, Metals, Broadcasting, REITs, Trading Companies No.3 ranked: Housing & Real Estate, Construction, Gaming & Internet, Auto Parts, Electronics / Consumer	March 2020
	All-Japan Sales Team Ranking	No.1 overall	March 2020
	All-America Fixed Income Research Survey	#2 Residential Mortgage-Backed Securities Strategy - Non-Agency	July 2018
HFM	HFM Europian Hedge Fund Performance Awards 2020	Nomura's Fixed Income Risk Premia UCITS Fund - Highly Commended	July 2020
Bond Connect	Bond Connect Awards 2020	Outstanding Investment Bank	July 2020
GlobalCapital	GlobalCapital Bond Awards	US RMBS Bank of the Year	June 2020
	Global Derivatives Awards 2019	Volatility Derivatives House of the Year	September 2019
The Asset	Region's Best Local Currency Bond Individuals in Research, Sales and Trading	#3 in Pan Asia Research (Sonal Varma) #4 in Singapore Research (Euben Paracuelles) #4 in India Sales (Neha Saraf) Highly commended in Pan Asia Sales (Shaun Ting)	June 2020
	2019 Asian G3 Bonds	Top Trader: #3 Wentao Yan Top Analysts: #7 Nicholas Yap Best Economist & Strategist: #8 Ting Lu	September 2019
FocusEconomics	Analyst Forecast Awards	No.1 Overall: Singapore, Thailand Current Account: Czech Republic, Thailand Fiscal Balance: Australia, Singapore, Philippines GDP: Russia, New Zealand Inflation: Japan, Singapore, Thailand Interest Rate: South Africa No.2 Overall: Japan, Malaysia, Taiwan Current Account: Indonesia Exchange Rate: Romania GDP: Taiwan Interest Rate: Malaysia, Thailand No.3 Overall: Australia, New Zealand Current Account: Philippines Exchange Rate: Philippines GDP: China, Singapore Inflation: Hungary Interest Rate: Philippines, Egypt	May 2020
J-MONEY	Best Research House 2019	Sectors, Large caps No.1 overall Medium-small caps No.3 overall No.1 ranked: Construction, Metals, Chemical, Electronics, Pharms, Precision instruments, Other products, Bank, Other financials, Information & Telecoms, Wholesale business No.2 ranked: Mining, Steel, Nonferrous metals, Paper & Pulp, Pharms, Transportation equipment, Real Estate, Services, REIT No.3 ranked: Rubber product, Glass, Textiles, Oils, Air transportation	April 2020
DTCC (The Depository Trust & Clearing Corporation)	Institutional Trade Processing Best Operational Brokers awards	Fixed Income Operational Broker of the Year 2019 (US, Japan and Great Britain)	April 2020
Nikkei	Nikkei analyst survey	32 Industry sectors and market categories No.1 ranked: Industrial electronics, Precision instruments/semiconductor equipment, Machinery/Shipbuilding & Plant Engineering, Banks, Business solution, Leisure/Amusement No.2 ranked: Autos, Steel/nonferrous metals, Trading companies, Construction, Telecommunications No.3 ranked: Consumer Electronics, Electronic parts, Auto Parts, Medical equipment/Services, Chemicals/Textiles, Housing & Real Estate, Media, REIT, Quantitative Research	March 2020
		Fixed Income / FX Analyst and Economist No.3 ranked: Securitization	March 2020
FX Week	Asia FX Awards 2019	FX House of Year Japan	September 2019
Financial News	Trading & Technology Awards Europe	Specialist Agency Broker of the Year (Instinet)	June 2019
Profit & Loss	2019 Digital FX Awards	P&L's One to Watch in 2019	April 2019
Greenwich Associates	Greenwich Associates' survey	#1 in Most Helpful Analysts in G3 Asian Bonds #1 in Most Helpful Analysts in Domestic Currencies #3 in Most Helpful Traders in G3 Asian Bonds	December 2018
The TRADE	Leaders in Trading Awards	Algorithmic Trading: Best access to market -Instinet EMS Best Product Consistency -Instinet EMS Overall Outperformer -Instinet	November 2018

Please scroll horizontally to look at table below.

Publication	Award	Category	Date
Power Finance & Risk	17th Annual Deals & Firms of the Year	M&A Deal of the Year	September 2020
The Banker	Investment Banking Awards 2020	Investment Bank of the Year for Sustainable Corporate Finance	September 2020
J-MONEY	Deals of the Year 2019	Best M&A (In-Out): Asahi Group Holdings’s acquisition of Carlton & United Breweries Best M&A (In-In): Z Holdings’s business integration with LINE Best IPO Deal: Sansan Best Equity follow-on: Recruit Holdings Best Equity-linked: ROHM Best International Bond: Panasonic Best Samurai Bond: Republic of Indonesia	April 2020
CAPITAL EYE Awards	Best Deals of 2019	Straight Bonds Special Prize (No.128 Mitsubishi Estate, No.61 Aiful) ZAITO (Agency) Bonds Best Deals of 2019 (No.125, 126, 127, 128 Japan Railway Construction, Transport and Technology Agency) Regional Bonds Best Deal of 2019 (No.792 Tokyo) Samurai Bonds Best Deals of 2019 (No.8, 9, 10, 11, 12, 13 Republic of Indonesia) Secondary Public Equity Issues/Uridashi Best Deal of 2019 (Recruit Holdings) Convertible Bonds Best Deals of 2019 (Rohm Euro-yen CB)	April 2020
Refinitiv	Deal Watch Awards 2019	Top House of the Year Bond Debut Debt Deal of the Year (No.1, 2 Sushiro Global Holdings) Innovative Debt Deal of the Year (No.2 Nomura Research Institute) Local Government Bond Local Government Bond House of the Year Samurai Bond Cross-border Yen Bond of the Year (No.8, 9, 10, 11, 12, 13 Republic of Indonesia) Equity Equity House of the Year Equity Deal of the Year (Recruit Holdings) IPO of the Year (Sansan) Equity-linked Product of the Year (Rohm Euro-yen CB)	March 2020
The Asset	Triple A Sustainable Capital Markets Regional Awards 2019	Financial institutions/NBFIs Bank - Most Innovative Deal (Bank of China US$962 million equivalent multi-currency Sofr green bond) Services Education - Best IPO (Koolearn Technology Holding US$243 million HK IPO)	February 2020
	The Asset Country Awards 2019	Best Deals - South Asia [India] Best IPO (Embassy Office Parks REIT)	December 2019
FinanceAsia	2019 Asia Awards	Best M&A Deal for Asia (China Resources Beer Holdings' long-term strategic partnership with Heineken)	December 2019
	2019 China Awards	Best M&A Deal (China Resources Beer Holdings' long-term strategic partnership with Heineken)	September 2019
GlobalCapital	Asia Capital Markets Awards 2019	Best SSA Bond (Asian Infrastructure Investment Bank's US$2.5bn five-year bond)	December 2019
	Syndicated Loan and Leveraged Finance Awards 2018	Leveraged loan of the year (Starfruit US Holdco's acquisition of Akzo Nobel’s Specialty Chemicals division, now Nouryon)	February 2019
	Equity Capital Markets Award 2017	ECM Deal of the Year in the Benelux (Heineken and Heineken Holding)	March 2018
IFR	IFR Asia Awards 2019	South Korea Capital Markets Deal (Lotte REIT's W430bn IPO)	December 2019
	IFR Awards 2019	Green Bond (Société du Grand Paris' €2bn 15-year green bond)	December 2019
mtn-i	Asia Pacific Awards	Deals of the Year (Korea Railroad Corporation’s Fixed-Rate Notes) Deals of the Year (CaixaBank SA’s Notes series)	October 2019

Please scroll horizontally to look at table below.

Publication	Award	Category	Date
EQDerivatives	EQDerivatives Awards	Multi-Strategy Fund Manager of the Year	March 2020
Refinitiv Japan	Refinitiv Lipper Fund Awards 2020 Japan^*3	Investment Trusts Category Fund Awards Best Funds (3 Years) Bond INR: Nomura India Bond Fund (M Sttl) Bond NZD: Nomura NewZealand Bond Open (ActiveHedge) Monthly Bond USD Short Term: Nomura Short Term Bond Fund 12 Equity Australia: Nomura Asia Series (Nomura Australia Focus) Equity Sector Consumer Discretionary: Nomura Pictet Premium Brand Fund A Course Equity Sector Financials: Nomura World Sector-classified (Wld Financial EQ) Equity Sector Real Est Japan: Nomura J-REIT Open (Asset Growth) Best Funds (5 years) Bond NZD: Nomura NewZealand Bond Open (ActiveHedge) Monthly Bond USD Short Term: Nomura Short Term Bond Fund 12 Equity Australia: Nomura Asia Series (Nomura Australia Focus) Equity Sector Consumer Discretionary: Nomura Pictet Premium Brand Fund A Course Equity Sector Financials: Nomura World Sector-classified (Wld Financial EQ) Equity Sector Real Est Japan: Nomura J-REIT Fund Mixed Asset JPY Conservative: Nomura My Story Portfolio Dist (6 Times a year) A Mixed Asset JPY Flexible: Nomura Time Dispersion Investment Nikkei 225 Jp Bd Best Funds (10 years) Bond USD Short Term: Nomura Short Term Bond Fund 12 Equity Global Income: Nomura Global Good Dividend Stock Equity Sector Real Est Global: Nomura Japan-US REIT Fund (Monthly Settlement) Equity Sector Real Est Japan: Nomura J-REIT Open (4/Yr Sttl) Equity US: Nomura US NASDAQ Open Course B Defined Contribution Pension Category Fund Awards Best Funds (3 Years) Equity Global JPY: Nomura International Bond Index Fund DC Equity Sector Real Est Japan: Nomura J-REIT Fund DC Best Funds (5 years) Bond Global JPY: Nomura International Bond Index Fund DC Equity Global: Nomura Global Value Open DC Equity Sector Real Est Japan: Nomura J-REIT Fund DC Best Funds (10 years) Bond Global JPY: Nomura International Bond Index Fund DC Equity Global: Nomura Global Value Open DC Equity Sector Real Est Global: Nomura World REIT Index Fund DC Equity Sector Real Est Japan: Nomura J-REIT Fund DC Mixed Asset JPY Conservative: Nomura My Balance 30 DC	March 2020
Morningstar	Fund of the Year 2019 ^*1	Domestic Stock Category Best Fund Award: Nomura Information Electronics Fund International Equity Fund (specific area) Category Excellence Fund Award: Nomura Future Trend Discovery Fund B Course (no currency hedging) Balance (stable) Fund Category Excellence Fund Award: Nomura Target Income Fund (3% annual target distribution type) Alternative Category Excellence Fund Award: Double Brain	January 2020
	Five star rating ^*2	Global Dynamic Bond Fund	November 2018
Citywire	Citywire Italia Awards 2019	Bonds-Global Global Dynamic Bond Fund	November 2019
EPF (Employees Provident Fund), Malaysia	EPF Fund Managers Annual Awards 2019	Best Domestic Equity Fund Manager (Conventional) 2018 Best International Equity Fund Manager for MSCI Asia Shariah (ex Japan ex Malaysia) 2018 Best 3-Year ROI International Equity Fund Manager for MSCI Asia Shariah (ex Japan ex Malaysia) 2018 Best 3-Year ROI International Equity Fund Manager for MSCI Ethical Asia (ex Japan ex Malaysia) 2018 Best 3-Year ROI International Equity Fund Manager for FTSE Shariah World Developed 2018	March 2019

References to any specific securities do not constitute an offer to buy or sell securities. Awards are based on past performance and do not guarantee the future performance of awarded funds. Data or statements are obtained from sources believed to be reliable but we cannot guarantee the accuracy or completeness. All information is the property of Morningstar Japan K.K. or Morningstar, Inc. and protected by copyright and intellectual property laws. All rights reserved.

Morningstar Overall Ratings as at 31-01-2019. Copyright © 2018 Morningstar UK Limited. All Rights Reserved. The information contained herein: (1) is proprietary to Morningstar and/or its content providers;(2) may not be copied or distributed; and (3) is not warranted to be accurate, complete or timely. Neither Morningstar nor its content providers are responsible for any damages or losses arising from any use of this information. Past performance is no guarantee of future results. Morningstar rating based on the lead share class: Global Dynamic Bond Fund I USD.

The Lipper Fund Awards, granted annually, highlight funds and fund companies that have excelled in delivering consistently strong risk-adjusted performance relative to their peers.
The Lipper Fund Awards are based on the Lipper Leader for Consistent Return rating, which is a risk-adjusted performance measure calculated over 36, 60 and 120 months. The fund with the highest Lipper Leader for Consistent Return (Effective Return) value in each eligible classification wins the Lipper Fund Award.
For more information, see lipperfundawards.com . Although Lipper makes reasonable efforts to ensure the accuracy and reliability of the data contained herein, the accuracy is not guaranteed by Lipper.

Inclusion in ESG Indices (As of December, 2020)

Nomura's CSR initiatives and information disclosure regarding the environment, society and governance have been highly evaluated by ratings agencies throughout the world. We have been included in ESG indices inside and outside of Japan.

	Dow Jones Sustainability Indices The world's first sustainability equity indices, Dow Jones & Company and RobecoSAM jointly choose the companies to be included in these benchmarks Nomura has been selected as a component of the DJSI World Index and the DJSI Asia Pacific Index.
	FTSE4Good Index Established by FTSE, wholly owned by the London Stock Exchange Group, the FTSE4Good Index is a socially responsible investment index comprised of prime enterprises across the world. FTSE Website
	FTSE Blossom Japan FTSE, wholly owned by the London Stock Exchange Group, selects Japanese companies that meet clear and transparent standards with respect to environmental, social and governance practices. FTSE Blossom Japan Index Website
	MSCI Japan Empowering Women Index [WIN] The WIN Index selects Japanese companies across various sectors that are actively encouraging women's participation in the workplace. It assesses companies on multiple criteria taking into consideration women's employment data and the information disclosed by each company.
	Euronext Vigeo World 120 Index The Euronext Vigeo World 120 Index is an ESG index operated by Euronext and Vigeo Eiris. It is composed of 120 listed companies globally ranked highly for their ESG performance.
	Bloomberg Gender-Equality Index [GEI] The GEI is a reference index that tracks the performance of public companies committed to supporting gender equality through policy development, representation and transparency.

ESG Ratings

	CDP Leadership Level A (December, 2020) The CDP project is an international project where by institutional investors ask companies to disclose their corporate strategies on climate change and greenhouse gas emissions. (rating scale: A to D-) CDP Website
	MSCI ESG Ratings AA (December, 2020) In 2020, Nomura received a rating of AA (on a scale of AAA-CCC) in the MSCI ESG Ratings assessment. MSCI ESG Ratings Website
	FTSE Russell ESG Ratings Overall ESG Score 4.5 (out of 5.0) (July, 2020) FTSE Russell measures Environmental, Social, and Governance (ESG) risk and performance on companies across the world. FTSE Russell ESG Ratings Website

Awards and Certifications

	Sustainable Finance Awards The Research Institute for Environmental Finance (RIEF) recognizes financial institutions in Japan that contribute to sustainable finance. Nomura received the 2019 award of excellence for its contribution to the development of the ESG bond market.
	Clean City Awards Nomura received the platinum award at the London Clean City Awards for its environmental conservation activities in the city.
	Britain's Healthiest Workplace Nomura is recognized as Britain's Healthiest Large Workplace for its exceptional program promoting physical, social and psychological wellbeing. (2016 - 2018: Winner, 2019: Highly Commended)
	Corporate Equality Index [CEI] Nomura received a perfect score of 100 on the Human Rights Campaign Foundation's 2021 Corporate Equality Index (CEI). The CEI is the premier benchmarking survey and report in the U.S. on corporate policies and practices related to lesbian, gay, bisexual, transgender and queer (LGBTQ) workplace equality.
	Caring Company Nomura was awarded the 2019/20 Caring Company award by the Hong Kong Council of Social Service in recognition of its good corporate citizenship initiatives through volunteering, giving and mentoring.

2020

Received an overall ranking of "A" at the Leadership level in the CDP Climate Change Report 2020 (December, 2020)
Received the highest Gold grade in the Pride Index, Japan's first index to rate companies on their LGBT-friendliness; run by Work with Pride, a private group (November, 2020)
Certified as a White 500 Health and Productivity Enterprise, a designation given to companies that carry out superior health management activities (March, 2020)
Ranked 1st in the securities & commodity futures category and 7th among financials in the Toyo Keizai CSR Ranking 2020 (February, 2020)
Received an overall ranking of "A-" at the Leadership level in the CDP Climate Change Report 2019 (February, 2020)
Received the Award of Excellence in the 2019 Sustainable Finance Awards sponsored by the Research Institute for Environmental Finance (January, 2020)

2019

Received Corporate Change-makers award from charity partner Cerebral Palsy Alliance Singapore (CPAS), a charity that works to empower persons with cerebral palsy or multiple disabilities to realize their full potential and lead fulfilled, dignified lives (October, 2019)
Received the highest Gold grade in the Pride Index, Japan's first index to rate companies on their LGBT-friendliness; run by Work with Pride, a private group (October, 2019)
Ranked 1st in the securities & commodity futures category and 7th among financials in the Nikkei Environmental Management Ranking (May, 2019)
Designated as a Semi-Nadeshiko Brand by the Ministry of Economy, Trade and Industry, and the Tokyo Stock Exchange, for encouraging women's empowerment in the workplace (March, 2019)
Certified as a White 500 Health and Productivity Enterprise, a designation given to companies that carry out superior health management activities (February, 2019)
Ranked 1st in the securities & commodity futures category and 7th among financials in the Toyo Keizai CSR Ranking 2019 (February, 2019)
Received an overall ranking of "A-" at the Leadership level in the CDP Climate Change Report 2018 (January, 2019)

2018

Recertified as "Leading companies in promoting female participation" by the City of Osaka (Nomura Securities, December, 2018)
Received the highest Gold grade in the Pride Index, Japan's first index to rate companies on their LGBT-friendliness; run by Work with Pride, a private group (October, 2018)
Ranked 1st in the securities & commodity futures category and 7th among financials in the Toyo Keizai CSR Ranking 2018 (February, 2018)
Ranked 1st in the securities & commodity futures category and 6th among financials in the Nikkei Environmental Management Ranking (January, 2018)
Received the platinum award at the London Clean City Awards for its environmental conservation activities in the city (January, 2018)

2017

Received an overall ranking of "A-" at the Leadership level in the CDP Climate Change Report 2017 (October, 2017)
Received the highest Gold grade in the Pride Index, Japan's first index to rate companies on their LGBT-friendliness; run by Work with Pride, a private group (October, 2017)
Selected as a Competitive IT Strategy Company for 2017 by the Ministry of Economy, Trade and Industry, and the Tokyo Stock Exchange (May, 2017)
Designated as a Semi-Nadeshiko Brand by the Ministry of Economy, Trade and Industry, and the Tokyo Stock Exchange, for encouraging women's empowerment in the workplace (March, 2017)
Certified as a White 500 Health and Productivity Enterprise, a designation given to companies that carry out superior health management activities (February, 2017)
Ranked 1st in the securities & commodity futures category and 6th among financials in the Toyo Keizai CSR Ranking 2017 (February, 2017)
Ranked 1st in the securities & commodity futures category and 7th among financials in the Nikkei Environmental Management Ranking (January, 2017)
Received the platinum award at the London Clean City Awards for its environmental conservation activities in the city (January, 2017)

Publication	Award	Category	Date
Fuji Sankei Business i.	59th Business Advertising Awards	Gold Award (Corporate Ad Series): More than just competition.	October 2020
HDI	HDI Awards 2020	HDI Five Star Certification: Call Center Service and Support Portal for DC Pensions, Call Center in Net & Call Department / Nomura Securities	February 2020
The Stock Exchange of Thailand (SET)	SET Award 2019	Securities Company Awards: Capital Nomura Securities (CNS)	November 2019
J.D. Power	2019 Japan Investor Satisfaction Study	No.1 ranked: Full-service Securities / Nomura Securities	July 2019
	New York Festivals 2019 Advertising Awards	Second Prize Award: Film Craft "First Gift"	May 2019
Nikkei	The 67th Nikkei Advertising Awards	Grand Prize (Financial category): Tokyo 2020 Paralympics "Acorn"	November 2018
	ADFEST2018	"My Personal Best" BRANDED CONTENT LOTUS, BEST USE OF NON-FICTION FILM Finalist FILM CRAFT LOTUS, DIRECTING Finalist	March 2018

Awards & Recognition

Inclusion in ESG Indices (As of December, 2020)

ESG Ratings

Awards and Certifications

2020

2019

2018

2017

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