Legal & Compliance

The Compliance Department is an important resource which provides internal support to business areas and employees by ensuring that Nomura has adequate systems and procedures in place to comply with its regulatory obligations.

Key Compliance responsibilities include: providing an advisory service to all business areas in relation to rules, regulations and all domestic and international financial services regulation; Providing employees with training to ensure that they understand their individual regulatory responsibilities; ensuring that Nomura only conducts investment business for which it is authorised under the Financial Services and Markets Act 2000.

The Legal team provides support to the business lines for their transactions and to the company on corporate issues. Our in-house lawyers specialise in particular business and product areas, working closely with the teams in global markets, investment banking and merchant banking.