Equity Capital Markets.

Our rapidly expanding Equity Capital Markets (ECM) team offers equity and equity-linked financing solutions to corporate and project finance clients in the U.S. The experienced team is committed to a track record of client-centric excellence; providing products such as initial public offerings (“IPO”), follow-on offerings (“FO”), convertible offerings, at-the-market offerings (“ATMs”) and share repurchase programs to our clients. In addition to origination capabilities, the ECM team provides exceptional execution by our seasoned syndicate professionals.

With extensive knowledge of the Japanese equity markets, our ECM team provides execution, marketing and distribution for SMBC Nikko’s global Japanese offerings. ECM is supported by a strong team of sales, sales traders and corporate access professionals who have many years of experience in Japanese equities. Together we introduce Japanese issuers to our diverse investor base of dedicated sector funds, mutual funds, pension funds, hedge funds and investment managers and provide value-added feedback (both pre and post offering) to the issuer. In addition, we have been successful in broadening the shareholder base for issuers with U.S. and offshore institutional clients as well as Canadian institutions.

Through strong collaboration with our colleagues at SMBC Nikko Securities (Japan) and SMBC Nikko Capital Markets Limited (UK) we have successfully participated in a large number of private placements of equity and equity-linked offerings for Japanese issuers.