Aaron Caplan – Nomura

Aaron has been at the forefront of SMCR implementation since becoming Head of Nomura’s SMCR Function in 2020. He has led the development of Nomura’s SMCR approach, including a governance approach and reasonable steps framework that has been consistently recognised by external reviews as leading industry practice. Aaron was actively engaged with recent SMCR regulatory developments, working with industry bodies on responding to the recent SMCR consultations including contributing directly to policy discussions with HMT, PRA and FCA. As Head of Central Compliance and SMCR for Nomura EMEA, he oversees Nomura’s global compliance training and policy framework development, alongside compliance advisory work on complex areas such as transaction reporting and third-party risk management.