Daiwa Securities Capital Markets Co. Ltd.

Daiwa Securities Capital Markets Co. Ltd. provides investment banking services. The firm offers relationship management, securities sales and trading, research, and initial public offering, mergers and acquisitions, and financing advisory services. It was formerly known as Daiwa Securities SMBC Co., Ltd. and changed its name to Daiwa Securities Capital Markets Co. Ltd. in January, 2010. The firm was founded in 1992 and is based in Tokyo, Japan. Daiwa Securities Capital Markets Co. Ltd. operates as a subsidiary of Daiwa Securities Group Inc.

Corporate Governance
Daiwa Securities Group clearly separates the supervisory and executive functions of its management to create a highly transparent and objective corporate governance system.

Risk Management
We will maintain a sound financial and profit structure that balances risk and return, and strive to continuously increase corporate value through appropriate risk management.

IT Strategy and Management of Systems Risk
Daiwa Securities Group has incorporated in its Medium-term Management Plan the development of an IT platform that will drive digital transformation, and is proceeding with the development.

The Daiwa Securities Group considers compliance as an important condition for realizing these corporate philosophies, and its compliance-related efforts go beyond mere compliance with laws and regulations, and earn the trust of customers, markets, society and shareholders. I understand it.

Prevention of corruption
In line with the principles of the United Nations Global Compact, Daiwa Securities Group works to prevent corruption.

Tax Policy
Daiwa Securities Group has enacted “Daiwa Securities Group Tax Policy” in aiming to develop corporate tax governance, and describes our code of conduct and standard of judgments in taxation.

Avoiding Involvement with Anti-Social Forces
At Daiwa Securities Group, we are continuously persisting in activities to eradicate anti-social forces from society based on our recognition of the large role that financial institutions play in this area.


Source: https://www.daiwa-grp.jp/english/about/governance/

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