Our Governance Structure

Our strategic direction is set by our Board of Directors, which is comprised of our senior management team as well as representative from our parent company Nikko Tokyo. The Board takes overall responsibility for the leadership and control of SMBC Nikko Securities (Hong Kong) Limited and ensures that we are complying with our legal and regulatory obligations. It also provides independent oversight and challenge of the executive management function to ensure that business plans and strategies and the shareholders’ interests are appropriately considered.

The Executive Committee supports the President and has full power and authority to make decisions on all issues, except for those matters which are reserved for the Board. Its principal focus is the implementation of the business strategies and plans set by the Board.

The Risk and Compliance Committee oversees all matters related to observance of the risk appetite, material transactions, key risks and future risk strategy, and oversees the firm\’s compliance-related activities.