Whistleblowing & Complaints
Whistleblowing and complaint
Nomura Global whistleblowing system
As part of the Nomura Group, we operate under a comprehensive global whistleblowing framework based on the Nomura Group Whistleblowing Policy and the Regulations on Management of Nomura Group Compliance processes. This process ensures consistent and effective handling of compliance concerns across all Nomura entities worldwide. Further information about our compliance framework can be found here.
Client information - complaints and whistleblowing at Nomura International Management Europe S.A.
We are committed to handling all client complaints fairly, effectively, and promptly.
Filing a complaint
If you have any concerns or complaints regarding our investment services, you have the right to submit your complaint directly to our Complaints Manager. All complaints will be investigated thoroughly and handled in accordance with our internal procedures and regulatory requirements.
Whistleblowing
We also maintain procedures for reporting potential regulatory breaches or misconduct. If you wish to report any concerns regarding compliance matters, market abuse, or other regulatory issues, you may contact our Complaints Manager confidentially.
Contact information
Your rights
- All complaints will be acknowledged promptly upon receipt
- You will receive regular updates on the progress of your complaint
- A final response will be provided within the timeframes specified by applicable regulations
- If you remain unsatisfied with our final response, you may have the right to refer your complaint to the relevant financial ombudsman or regulatory authority (CSSF Luxembourg)
We take all complaints and reports seriously and are committed to resolving any issues in a fair and timely manner.