Our Company

Nikko Asset Management is one of Asia’s largest asset managers, providing high-conviction, active fund management across a range of Equity, Fixed Income and Multi-Asset strategies. In addition, our complementary range of passive strategies covers more than 20 indices and includes some of Asia’s largest exchange-traded funds (ETFs).

In the pursuit of excellence, we approach everything we do with an entrepreneurial mindset. This enables us to think differently, transforming intelligent insights into innovative, relevant investment opportunities for our clients. Leveraging our unique combination of a global perspective complemented by our Asian DNA, we aspire to create sophisticated and diverse solutions that set new standards in the asset management industry.

Our global investment teams have a strong appreciation for the unique characteristics of individual countries and sectors, helping them to cut through the noise to determine the real risks and opportunities. Using local market intelligence to unearth new ideas, they exploit these on-the-ground insights to build strong, dynamic portfolios for our clients.

At Nikko Asset Management, we believe in partnering with our clients to build progressive investment solutions. In a world where one-size-fits-all solutions are no longer the answer, our ability to turn insights into opportunities sets us apart. Our understanding of both our clients and the drivers of investment markets underpins the innovation and relevance of the solutions we develop.

Nikko AM New Zealand

As a dedicated global investment manager in New Zealand, Nikko AM NZ is committed to providing the best of both New Zealand and the world to investors. The Nikko AM global investment platform provides a real time connection to a network of over 200** investment professionals who share proprietary ideas and perspectives.

Nikko AM NZ partners local knowledge and experience with significant global resources, delivering cutting edge investment perspectives, risk analysis, financial support and business infrastructure. Nikko AM NZ is based in Auckland, New Zealand.

Please see our Global Reach for more details.

What we do

Nikko AM NZ is solely in the business of investment management. Nikko AM NZ actively manages NZ$5 billion of investments for corporate superannuation schemes, community trusts, charitable trusts, foundations, financial planners, banks, insurance companies, KiwiSaver Schemes, corporations, other fund managers and retail investors through platforms.

We manage domestic assets (equities, fixed interest and cash) through our Auckland-based investment team and employ carefully selected offshore managers to manage global assets (global equities, global bonds and alternative investments). We also offer socially responsible funds and embrace the United Nations Principles for Responsible Investment.

How we manage money

Nikko AM NZ possesses an investment-focused, intelligent and collegiate team environment. The investment philosophy is driven by high conviction ideas and fresh perspectives, supported by rigorous research and analysis.

As an active investment manager, we have a medium term focus that uses our fundamental research and information advantage to add value. We specialise in investment management and operate within the controlled risk environment of a specialist global investment manager.

Experience counts

Our investment professionals have an average of over 17 years' investment experience. The collective experience has contributed to sound investment processes that have been enhanced with the knowledge gained from changing market conditions.

Nikko AM NZ has been able to attract and retain some of the best talent in the industry and today enjoys the benefit of a dedicated New Zealand investment management team with experts that have been together for over a decade.

Global Assets

Nikko AM NZ has developed a rigorous selection process to appoint world class investment specialists to manage global assets and has grown successful, long-standing relationships with offshore managers spanning many years. We look to identify managers who are best of breed, institutional-calibre and who are aligned with our investment philosophy.

Governance and Controls

Nikko AM NZ operates within a strong governance framework and considers our fiduciary responsibilities of upmost importance. Nikko AM provides global resources, systems, policies and procedures, while the New Zealand business is overseen by an experienced Board and Investment Committee.

Nikko AM NZ has created a comprehensive compliance program that is continually updated to reflect the developing regulatory and compliance environment. Risk management is not a standalone activity that is separate from the main activities and processes of the organisation. Nikko AM NZ views compliance, systems and controls as a critical part of the investment process. We also promote transparency and open communication when managing clients' investments.

Strong governance is a feature that we search for when investing in companies, in particular suitable corporate governance structures which offer transparency and investment ownership protection. We recognise that we have an obligation to promote Environmental, Social and Governance (ESG) practices among companies in which investments are held on our investors' behalf.

Nikko AM NZ is supervised by Public Trust. Public Trust is a statutory corporation and Crown Entity.

* As of 30 June 2016

**As of 30 June 2016, including employees of Nikko AM and its subsidiaries, but excluding minority affiliates and minority joint ventures.

Nikko AM NZ's corporate history dates back to 1881 when The New Zealand Guardian Trust Company Limited (NZGT) was founded in New Zealand
Nikko Asset Management New Zealand Limited (Nikko AM NZ)
2014		Nikko AM NZ is the new name for Tyndall Investment Management New Zealand Limited (Tyndall Investments)
2011		Nikko Asset Management Co., Ltd. acquires Tyndall Investments (Australia and New Zealand) from Suncorp Group Limited (Suncorp)
2007		Suncorp conducts a friendly merger with Promina Group
2004		Tyndall Investments is the rebranded name of New Zealand Guardian Trust Funds Management Limited (GTFM)
2002		Royal & SunAlliance plc announces their Australian and New Zealand businesses are to be listed in 2003 via a separate company (later named Promina Group)
2000		GTFM is formed following the merger of the funds management activities of NZGT and R&SA
1999		Royal & SunAlliance plc acquires Tyndall Australia Ltd, parent of NZGT

Non-Executive Chairman

Yoichiro Iwama Outside Director, Chairman of the Board of Directors Mr. Iwama holds a wealth of managerial experience in asset management in Japan, encompassing a broad range of senior roles, including most recently President & CEO of Tokio Marine Asset Management Co., Ltd. until 2010. He also acted as Chairman of the Japan Securities Investment Advisers Association for seven years from June 2010, the self-regulatory body for the industry in Japan. In this role, he displayed strong leadership in heightening stewardship at asset managers and corporate governance at invested companies.

Executive Management

The company's management team is highly experienced and diverse, and is committed to running the company according to international best practices. The Global Executive Committee consists of the President & CEO, the Executive Vice Chairman, the Executive Deputy President and the Global Head of Investment.

	Takumi Shibata Representative Director, President & CEO Takumi Shibata is Representative Director, President & CEO of Nikko Asset Management Co., Ltd. He joined the company as Executive Chairman in July 2013, and assumed the roles of Chairman, President & CEO in January 2014. Read more At the end of March 2014, he relinquished the title of Chairman. Drawing on his global network and the wealth of experience, he is responsible for the group's domestic and international businesses, reinforces relationships with business partners and clients, and acts as a catalyst to unite Nikko Asset Management's multinational workforce. Prior to joining Nikko Asset Management, Shibata was Group COO of Nomura Holdings. Before that, he was responsible for Nomura's European operations from its London subsidiary, and then oversaw global investment banking, global wholesale, global administration and global asset management operations. During his time at Nomura, Shibata spent 20 years in Japan and 17 years overseas. Shibata is a former member of the Business Accounting Council of Japan's Financial Services Agency, Vice Chairman of the Japan Investment Advisers Association, Chairman of the Self-regulatory Planning Committee of the Japan Securities Dealers Association, a Board Member of the International Primary Market Association (London) and a Board Member of the Securities Institute (London). In these roles, he strove to further develop the financial markets in both Japan and the United Kingdom. Shibata holds a BA in economics from Keio University and an MBA from Harvard Business School.
	Hideo Abe Director, Executive Vice Chairman Hideo Abe joined Nikko Asset Management as Executive Vice Chairman in October 2013. He was also named Director in April 2014. His current role includes developing strategies to reach domestic and overseas institutional investors, as well as individual investors. Read more Abe was most recently at Mizuho Securities Co., Ltd., where he served as director and deputy president for five years from 2008 to 2013. Prior to Mizuho Securities, Abe was a board member and CEO at Nikko Citigroup for four years. During the course of his career at Nikko Cordial Securities and its forerunner company, Nikko Securities (now SMBC Nikko Securities), he held various important offices such as senior managing director for Nikko Cordial Securities, as well as board member and executive officer for Nikko Cordial Group. In these roles, he was a leader in business and product planning, marketing, fixed income trading, and capital markets. Abe boasts 36 years of experience in the finance and securities industries. From 1987 to 1995, Abe was assigned to the London-based Nikko Europe. He is a graduate of Keio University's School of Literature.
	Junichi Sayato Representative Director & Executive Deputy President In June 2015, Junichi Sayato joined Nikko Asset Management Co., Ltd. as Representative Director and Executive Deputy President, where he will oversee risk management, legal, compliance, IT, operations, strategic planning, internal control, corporate sustainability, finance and human resources. Read more Before joining Nikko Asset Management, Junichi Sayato most recently served as Representative Director and President of Sumitomo Mitsui Trust General Service Co., Ltd. He previously held the position of President at Sumitomo Mitsui Trust Research Institute Co., Ltd., and also oversaw IR at Sumitomo Mitsui Trust Holdings, Inc. as Director and Managing Executive Officer. At the former Sumitomo Trust & Banking Co., Ltd. (now Sumitomo Mitsui Trust Bank, Limited), he oversaw finance, operations, IT, compliance, and CS as Director and Managing Executive Officer. Before that, he served as Executive Officer and Regional Executive for the Americas at the same bank, as well as General Manager of the New York Branch and General Manager of the Risk Management Department. He has over 13 years of extensive experience in working outside of Japan namely in London, New York and Washington D.C. He graduated from the School of Law at Kyoto University in March 1978 and received his master's degree from the London School of Economics (Department of Economics, International Relations Major) in August 1982.
	Yu-Ming Wang Deputy President, Global Head of Investment & CIO, International Yu-Ming Wang has a wealth of experience in the asset management industry with a notable track record particularly in managing global fixed income. Read more Yu-Ming Wang is responsible for overseeing Nikko Asset Management's investment teams, comprising more than 200 seasoned professionals spanning four continents and seven locations (Tokyo, Singapore, Sydney, Auckland, Hong Kong, London and New York) and covering all global markets and asset classes. Joining Nikko Asset Management as International CIO in January 2013, Yu-Ming assumed the additional position of Deputy President in April 2014. Based in Asia since 2007, Yu-Ming was previously Head of Fixed Income at Manulife Asset Management (Hong Kong). Prior to that, he worked at Wachovia Bank for nine years in senior roles in the capital markets division in New York, before moving to Hong Kong to head the global markets business for the Asian region. Yu-Ming earned his bachelor's degree at the Massachusetts Institute of Technology and his MBA from New York University. He is a US national and fluent in Mandarin Chinese.

Regional Executives

	Eleanor Seet Head of Asia and President, Nikko Asset Management Asia Limited Eleanor joined Nikko Asset Management Asia in 2011 as president. She is responsible for driving the growth of Nikko Asset Management Asia. She has spent her entire career in the asset management industry and has a strong background in sales and marketing of investment products. Read more Previously, she held the role of senior director for iShares, Private Wealth Distribution, Asia ex-Japan from 2009. Prior to that, she spent 12 years at AllianceBernstein, where she was responsible for building and developing the firm distribution channels and business. She graduated with a Bachelor of Economics from the University of New South Wales, Sydney.
	Sam Hallinan Managing Director, Nikko Asset Management Australia Limited Sam Hallinan joined Nikko Asset Management as Managing Director, Australia on April 1, 2015. Read more Sam most recently was General Manager, Investment Management at NAB Asset Management while also serving as Director of Antares Capital Partners Limited, which is affiliated with NAB Asset Management. Sam has a 20-year career in Australian financial services focusing on asset management, strategy, sales and organisational culture. At NAB, he held leadership roles in retail and institutional product and sales leadership roles for the asset management and investment platform divisions.
	George Carter Managing Director, Nikko Asset Management New Zealand Limited George Carter joined Nikko Asset Management New Zealand as the Managing Director in November 2015. He has 15 years of experience in the financial services industry. Read more George was previously head of distribution and a director at AMP Capital, a role he held for six years with responsibility for proactively engaging with and managing the business's external relationships. Prior to that, he worked as a consulting actuary advising institutional clients on pensions, investments assets and liabilities in the United Kingdom and New Zealand. He holds an honours degree in Theology from the University of Durham and is a Fellow of both the Institute of Actuaries and the New Zealand Society of Actuaries.
	John Howland-Jackson Chief Executive Officer, Nikko Asset Management Europe Limited John joined Nikko Asset Management in October 2014, initially as an advisor to senior management on business development opportunities in Europe and the Middle East. Read more After joining the Nikko Asset Management Europe (NAME) board in 2016 as Non-Executive Director and Chairman, he was appointed Chief Executive of the company on 1 January 2018. John is responsible for all aspects of Nikko AM’s business across the EMEA region and its continuing growth strategy. Prior to joining Nikko AM, John was a career banker holding senior executive positions in the UK, Europe, the Middle East and Asia with a number of leading financial institutions, including JP Morgan, Nomura Securities, the NatWest Group and latterly the ING Group. John holds a BA in Jurisprudence (Law) from Oxford University and is a qualified Barrister-at-Law.
	Fred DeSerio Country Head and Senior Managing Director, Nikko Asset Management Americas Fred DeSerio joined Nikko Asset Management in January 2015 as head of sales in the United States. Read more Shortly after he was promoted to the position of country head and senior managing director. He is upgrading the region's business development capabilities as Nikko Asset Management looks to expand not only in the United States but across North and South America. Prior to joining the company he was a managing director at Invesco where he started working in 2002. Prior to Invesco, he worked for firms including Smith Barney, American International Group and Segal Advisors.
	Yasuaki Ogiwara President, Nikko Asset Management Hong Kong Limited Yasuaki Ogiwara joined Nikko Asset Management in April 2015 and is the president of Nikko Asset Management Hong Kong Limited. Read more He is responsible for supporting the company's delivery of integrated solutions to investors throughout Asia. He is a veteran financier. Prior to joining Nikko Asset Management he was the president of Nomura Asset Management in Hong Kong. He has also headed sales and business development in multiple markets during his tenure at Nomura Securities, including Taiwan and Europe.

Nikko Asset Management Affiliates Key Executives

http://www.rtfund.com/

Allen Yan Deputy CEO, Rongtong Fund Management Mr. Yan joined Rongtong Global Investment Limited as CEO in 2013. He has been serving as a deputy CEO of Rongtong Fund Management Co. since 2011. Read more From March 2008 to 2011, Allen was co-head of strategy and financial planning of Nikko AM. He was head of financial planning and analysis from 2006 to 2008. Prior to joining Nikko AM, he had been with Fidelity Investments Japan since 2001. There he was in the finance division, responsible for business planning and financial analysis for Fidelity Investments Japan and subsequently Fidelity Investments Asia. He earned his BA in Economics at the University of Chicago and his Master of Commerce and Management at Hitotsubashi University in Japan. He holds the designation of Chartered Financial Analyst (CFA).

http://www.affinhwangam.com/

Teng Chee Wai Chief Executive Officer & Executive Director, Affin Hwang Asset Management Berhad Teng is the founder of Affin Hwang Asset Management. Over the past decade, he has built the Company to be the fastest growing and only independent investment management house in Malaysia's top five, with an excess of RM 30 billion in assets under management. Read more In his capacity as Managing Director, Teng manages the overall business and strategic direction as well as the management of the investment team. His 'hands on approach' sees him actively involved in investments, product development and marketing. Teng's critical leadership and regular participation in reviewing and assessing strategies and performance has been pivotal in allowing the Company to successfully navigate the economically turbulent decade. Teng's investment management experience spans more than 20 years, and his key area of expertise is in managing absolute return mandates for insurance assets and investment- linked funds in both Singapore and Malaysia. Prior to his current appointments, he was the Assistant General Manager (Investment) of Overseas Assurance Corporation (OAC) and was responsible for the investment function of the Overseas Assurance Corporation Ltd Group. Teng's began his career in the financial industry as an Investment Manager with NTUC Income, Singapore. He is a Bachelor of Science graduate from the National University of Singapore and has a Post-Graduate Diploma in Actuarial Studies from City University London.

Nikko AM's range of specialist Asian equity, fixed income and ETF investment products have been singled out for distinction by consultants and financial media across the globe. We appreciate this recognition and strive to remain the leading Asia-based asset management company, by delivering consistent outperformance and high quality client service.

Asia Asset Management — 2015, 2016, 2018

AsianInvestor Awards — 2006, 2007, 2008, 2011, 2012, 2013, 2014, 2015, 2017

The Asset ETF Awards — 2017

ETF Express Awards — 2010, 2011, 2013, 2014, 2015, 2016, 2017, 2018

Global Investor/isf Award for Investment Excellence — 2010

Lipper Fund Awards (Japan) — 2005, 2006, 2007, 2008, 2009, 2010, 2011, 2013, 2014, 2015, 2016, 2017, 2018

Lipper Fund Awards (UK) — 2010

Morningstar "Fund of the Year" Awards — 2005, 2006, 2007, 2009, 2013, 2014, 2015, 2016, 2017

R&I Fund Award — 2007, 2008, 2009, 2010, 2011, 2013, 2014, 2014, 2015, 2016, 2017, 2018

TBLI ESG Leaders Awards — 2010

Our subsidiaries and affiliates have also been recognised through industry accolades.

• Nikko AM Asia (Singapore): http://nikkoam.com.sg/about-us/awards
• Nikko AM Australia: http://www.nikkoam.com.au/about/awards
• Affin Hwang AM: http://www.affinhwangam.com/
• Rongtong: http://www.rtfund.com/main/About/Overview/index.shtml

New Zealand

Japan

Singapore

Australia

EMEA

Americas

Hong Kong

China

Malaysia

While Nikko Asset Management has over half a century of experience in the marketplace, we have an entrepreneurial culture that is building strong global investment capability in equity, fixed income, multi-asset and alternatives.

Headquartered in Asia for 55+ years, the firm represents more than 200 investment professionals and over 30 nationalities across 9 countries. More than 300 banks, brokers, financial advisors and life insurance companies around the world distribute the company’s products.

Our talent strategy is to recruit and retain the performance-driven leaders and technical specialists who are experts locally, think globally, and can help us expand quickly in this growing industry.

Our philosophy in developing human capital is to hire the right people, execute powerfully on the basics of performance management and rewards, and ensure leadership is driving a leaders-building-leaders culture in order to ensure that the right behaviours are being modelled for managers and other future leaders.

Leaders and managers are encouraged to discuss the career aspirations of all employees, and to use their experience and resources to work with their team members to identify creative development opportunities that will stretch, in particular, our mission critical as well as our high potential leadership talent.

This email address is being protected from spambots. You need JavaScript enabled to view it. if you believe that Nikko Asset Management is a fit for you.