Basic Principles Against Anti-Social Forces

In order to ensure the soundness and fairness of the securities market and the safety of our customers and employees, we shall establish a system to eliminate Anti-Social Forces such as organized crime groups, persons related to organized crime groups, and corporate extortionist, and shall take organizational measures to cut off any relationship with such forces. To this end, we will respond in accordance with the following basic principles.

1. Organizational Response

We will not leave the matter to the person or department in charge alone, but will respond as an organization, starting with the Representative Director. In addition, we will ensure the safety of officers and employees who respond to unreasonable demands by Anti-Social Forces.

2. Coordination with Professional Organizations

To obtain appropriate advice and cooperation in dealing with Anti-Social Forces, we will establish close cooperative relationships with outside professional organizations such as the police, the National Center for Removal of Criminal Organizations, and lawyers.

3. Cut-off All Relationships

We shall not have any relationship, including business relationships, with Anti-Social Forces. We will also reject any unreasonable demands by Anti-Social Forces.

4. Civil and Criminal Legal Responses to Unreasonable Demands

We will take legal action, both civil and criminal, against unreasonable demands by Anti-Social Forces.

5. Prohibition of Backroom Deals and Funding

We will never engage in backroom deals to cover up a case, even if the unreasonable demands of Anti-Social Forces are due to misconduct in our business activities or misconduct of our officers and employees. In addition, we will never provide funds or inappropriate favors to Anti-Social Forces.