Our overriding philosophy is keeping clients at the center of everything we do. The principle of client first drives all the firm's activities including product development, investment management and product distribution. By providing quality products and services to our clients, we aim to help with the steady accumulation of assets.

Nomura Securities seeks to enhance the quality of financial products and services offered to clients by conducting thorough examinations when accounts are opened and when we underwrite securities, and by providing accurate and easy-to-understand information under the Guidelines for Financial Instruments Business Supervision.

Governance | Compliance

The Wealth Management Division regularly holds Customer Satisfaction (CS) Improvement Liaison Meetings chaired by an executive officer in charge of the Wealth Management Division, with the aim of enhancing customer satisfaction by aggregating feedback received from clients through our daily business activities, dedicated phone lines, as well as our client satisfaction surveys.

At the CS Improvement Liaison Meeting, we analyze the feedback and other information we receive from clients, consider responses by relevant departments, and improve our system and the wording in various documents. The matters discussed by the CS Improvement Liaison Meeting are reported to the Executive Management Board as necessary to allow senior management to understand these issues.
Feedback and comments from clients are shared internally through our compliance training program for Nomura's retail departments and branches, and through the intranet, giving each employee an opportunity to review the content.

Caseload at Customer Help Desk Department, Results of customer satisfaction surveys at branch offices (Nomura Securities) (PDF 551KB)

Amid growing needs for asset management as well as inheritance and business succession planning, we are actively working to develop new products and services and to improve the products and services we currently offer in order to deliver the best financial products and services to our clients.

We are also delivering financial products and services to more clients than ever before through strategic alliances with regional financial institutions launched in September 2020 and initiatives to improve the financial literacy of working-age people.

Expansion of our business through partnership [Nomura Report 2023] (PDF 287KB)

We are also working to expand our digital services to provide a higher level of convenience to more of our clients. Nomura Securities provides the "Nomura Remote Consultation Service," which allows clients and sales representatives to share documents and consult remotely online. In addition, we utilize digital tools such as smartphone apps and online services to improve the efficiency of asset management, optimize the collection of information, and help clients visualize their assets.

In order to ensure that all clients can use our branches with peace of mind, we are working to create safe and secure branches providing customer service taking all clients into consideration.

Major Initiatives at Nomura Securities

• Establishment of a Heartful Partner function to provide consulting to elderly clients
• Installation of wheelchair-accessible toilets and elevators
• Removal of stairs/steps from entrances and exits (installation of ramps, elevators, railings, etc.)
• Initiatives for Financial Gerontology

Nomura Securities has established a Heartful Partner team in charge of helping elderly clients and their families. The Japan Financial Gerontology Association, which was established in 2019 with the aim of disseminating knowledge about financial gerontology to the general public and developing human resources who can apply the knowledge to financial services, has provided training for employees of financial institutions, and a total of more than 1,300 employees have received this training.

Nomura Securities and Nomura Asset Management established the "Policy on Customer-Oriented Business Conduct" in April 2017. The firms have released target KPIs and the status of implementation of initiatives aimed at customer-oriented business operations. These policies are reviewed as necessary, and KPIs and the status of initiatives are regularly reported to the Executive Management Board.

Policy on Customer-Oriented Business Conduct (Nomura Securities)^* (PDF 221KB)

Note: This English-language policy is only for reference. The official document is in Japanese.