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Nomura Corporate Research and Asset Management Inc.

PRI reporting framework 2019

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Confidence building measures

CM1 01. Assurance, verification, or review

01.1. Indicate whether the reported information you have provided for your PRI Transparency Report this year has undergone:

01.2. Additional information [OPTIONAL]

          
        

CM1 02. Assurance of last year's PRI data

02.1. We undertook third party assurance on last year’s PRI Transparency Report

02.2. Whole report was assured in last year’s PRI Transparency Report

Who has conducted the assurance

          Ernst & Young
        

Assurance standard used

Specify

          NCRAM has a Standards for Attestation Engagements (SSAE) 18 and Service Organization Controls (SOC) 1 audit performed annually by an independent accounting firm, which satisfies both the requirements for the AICPA's Statement on SSAE 18 and the International Auditing and Assurance Standards Board's (IAASB) International Standards for Assurance Engagements (ISAE) 3402.
        

Level of assurance sought

Link to external assurance provider's report

02.2. Selected data was assured in last year’s PRI Transparency Report

What data has been assured

Relevant modules

02.3. Additional information [OPTIONAL]

          
        

CM1 03. Other confidence building measures

03.1. We undertake confidence building measures that are unspecific to the data contained in our PRI Transparency Report:

03.5. Additional information [OPTIONAL]

          
        

CM1 04. Assurance of this year's PRI data

04.1. Do you plan to conduct third party assurance of this year's PRI Transparency report?

04.2b. Selected data will be assured

What data will be assured

Relevant modules

04.2a. Provide details related to the assurance that will be conducted

Expected date the assurance will be complete 30/04/2019

Who will conduct the assurance

          Ernst & Young
        

Assurance standard to be used

Specify

          NCRAM has a Standards for Attestation Engagements (SSAE) 18 and Service Organization Controls (SOC) 1 audit performed annually by an independent accounting firm, which satisfies both the requirements for the AICPA's Statement on SSAE 18 and the International Auditing and Assurance Standards Board's (IAASB) International Standards for Assurance Engagements (ISAE) 3402.
        

Level of assurance sought

04.3. Additional information [OPTIONAL]

          
        

CM1 05. External assurance (Not Applicable)


CM1 06. Assurance or internal audit (Not Applicable)


CM1 07. Internal verification

07.1. Indicate who has reviewed/verified internally the whole - or selected data of the - PRI Transparency Report . and if this applies to selected data please specify what data was reviewed

Who has conducted the verification

Sign-off or review of responses

specify

          Client Relations & Marketing
        

07.2. Additional information [OPTIONAL]

          
        

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