In compiling the Daiwa Securities Group Sustainability Report 2009, reference was made to Global Reporting Initiative (GRI) Guidelines (3rd Edition, 2006) and the Financial Services Sector Supplement (2008). The guidelines set out a series of standard levels (GRI application levels) based on regulations outlined therein that companies compiling reports may apply to ensure that their reports are compliant with GRI guidelines. We believe that the Daiwa Securities Group Sustainability Report 2009 meets the reporting standards for GRI Report Application Level B.
| GRI Content Index |
|---|
| GRI Indicators | Page Numbers/Other References | ||
| 1 Strategy and Analysis | |||
|---|---|---|---|
| 1.1 | Statement from the most senior decision-maker of the organization (e.g., CEO, chair, or equivalent senior position) about the relevance of sustainability to the organization and its strategy. | 8-10（Message from the President and CEO） | |
| 1.2 | Description of key impacts, risks, and opportunities. | 1-5（Daiwa Securities Group CSR） 8-10（Message from the President and CEO） 26-27（CSR Issues: Performance and Targets） Web（CSR Management） |
2 Organizational Profile |
| 2.1 | Name of the organization. | 11（Management Summary） | |
| 2.2 | Primary brands, products, and/or services. | 7（Description of the Daiwa Securities Group's Business） | |
| 2.3 | Operational structure of the organization, including main divisions, operating companies, subsidiaries, and joint ventures. | 7（Description of the Daiwa Securities Group's Business） | |
| 2.4 | Location of organization's headquarters. | 11（Management Summary/Corporate Profile） | |
| 2.5 | Number of countries where the organization operates, and names of countries with either major operations or that are specifically relevant to the sustainability issues covered in the report. | 11（Management Summary/Breakdown of Net Operating Revenues by Region (Consolidated)） | |
| 2.6 | Nature of ownership and legal form. | 11（Management Summary/Corporate Profile） Web（Corporate Governance） |
|
| 2.7 | Markets served (including geographic breakdown, sectors served, and types of customers/beneficiaries). | 7（Description of the Daiwa Securities Group's Business） 11（Management Summary） Web（Distribution of Economic Value to Stakeholders/Revenues in the Economic Report） |
|
| 2.8 | Scale of the reporting organization, including:
· Number of employees;
· Net sales (for private sector organizations) or net revenues (for public sector organizations);
· Total capitalization broken down in terms of debt and equity (for private sector organizations); and
· Quantity of products or services provided. |
11（Management Summary） | |
| 2.9 | Significant changes during the reporting period regarding size, structure, or ownership including:
· The location of, or changes in operations, including facility openings, closings, and expansions; and
· Changes in the share capital structure and other capital formation, maintenance, and alteration operations (for private sector organizations). |
6（Corporate Principles/Editorial Policy） 7（Description of the Daiwa Securities Group's Business/ *１） |
|
| 2.10 | Awards received in the reporting period. | 5（A Supportive Work Environment for Both Men and Women） 30（The Daiwa Securities Group's CSR Activities） 31（Third-party Evaluations） Web（Corporate Citizenship/ Support for Disaster-Affected Areas） Web（Respect for People and Human Resource Utilization/External Evaluations） |
3 Report Parameters |
| Report Profile | |||
| 3.1 | Reporting period (e.g., fiscal/calendar year) for information provided. | 6（Corporate Principles/Editorial Policy） | |
| 3.2 | Date of most recent previous report (if any). | 6（Corporate Principles/Editorial Policy） | |
| 3.3 | Reporting cycle (annual, biennial, etc.). | 6（Corporate Principles/Editorial Policy） 30（Reference to GRI Guidelines） 31（Daiwa Securities Group CSR Report 2009 Booklet and Web Edition） |
|
| 3.4 | Contact point for questions regarding the report or its contents. | 30(Inquiries) | Report Scope and Boundary |
| 3.5 | Process for defining report content, including:
· Determining materiality;
· Prioritizing topics within the report; and
· Identifying stakeholders the organization expects to use the report. |
1（Consolidating Key Issues of Daiwa Securities Group） 6（Editorial Policy/Intended Readership） Web（Corporate Mission and Principles） |
|
| 3.6 | Boundary of the report (e.g., countries, divisions, subsidiaries, leased facilities, joint ventures, suppliers). | 6（Corporate Principles/Editorial Policy） 7（Description of the Daiwa Securities Group's Business） |
|
| 3.7 | State any specific limitations on the scope or boundary of the report. | 6（Corporate Principles/Editorial Policy） 7（Description of the Daiwa Securities Group's Business） |
|
| 3.8 | Basis for reporting on joint ventures, subsidiaries, leased facilities, outsourced operations, and other entities that can significantly affect comparability from period to period and/or between organizations. | Web（Environmental Impact） | |
| 3.9 | Data measurement techniques and the bases of calculations, including assumptions and techniques underlying estimations applied to the compilation of the Indicators and other information in the report. | Web（Daiwa Securities Group's CO2 Emissions） | |
| 3.10 | Explanation of the effect of any re-statements of information provided in earlier reports, and the reasons for such re-statement (e.g., mergers/ acquisitions, change of base years/periods, nature of business, measurement methods). | Web（Daiwa Securities Group's CO2 Emissions） Web（CO2 Emissions per Employee） Web（Volume of Copying Paper/Forms Purchased） |
|
| 3.11 | Significant changes from previous reporting periods in the scope, boundary, or measurement methods applied in the report. | 1（Consolidating Key Issues of Daiwa Securities Group） 7（Description of the Daiwa Securities Group's Business/ *１） |
GRI content index |
| 3.12 | Table identifying the location of the Standard Disclosures in the report. | Web（This table references GRI content） | Assurance |
| 3.13 | Policy and current practice with regard to seeking external assurance for the report. If not included in the assurance report accompanying the sustainability report, explain the scope and basis of any external assurance provided. Also explain the relationship between the reporting organization and the assurance provider(s). | 29（Third-party Opinion） | 4 Governance, Commitments, and Engagement |
| Governance | |||
| 4.1 | Governance structure of the organization, including committees under the highest governance body responsible for specific tasks, such as setting strategy or organizational oversight. | Web（Corporate Governance） | |
| 4.2 | Indicate whether the Chair of the highest governance body is also an executive officer (and, if so, their function within the organization's management and the reasons for this arrangement). | Web（Corporate Governance） | |
| 4.3 | For organizations that have a unitary board structure, state the number of members of the highest governance body that are independent and/or non-executive members. | Web（Corporate Governance） | |
| 4.4 | Mechanisms for shareholders and employees to provide recommendations or direction to the highest governance body. | Web（Respect for People and Human Resource Utilization/ Communication） Web（Communication with Shareholders and Investors） |
|
| 4.5 | Linkage between compensation for members of the highest governance body, senior managers, and executives (including departure arrangements), and the organization's performance (including social and environmental performance). | 69 (Fiscal 2008 Securities Report/policy with regard to determination of remuneration for directors and executive officers, PDF) 75 (Fiscal 2008 Securities Report/executive officer remuneration, PDF) 77 (Fiscal 2008 Securities Report/auditor remuneration and other content, PDF) |
|
| 4.6 | Processes in place for the highest governance body to ensure conflicts of interest are avoided. | Web（Preventing Conflicts of Interest between Group Companies） | |
| 4.7 | Process for determining the qualifications and expertise of the members of the highest governance body for guiding the organization's strategy on economic, environmental, and social topics. | Web（Corporate Governance/ Supervisory Function） |
|
| 4.8 | Internally developed statements of mission or values, codes of conduct, and principles relevant to economic, environmental, and social performance and the status of their implementation. | 6（Corporate Principles） Web（Corporate Mission and Principles） |
|
| 4.9 | Procedures of the highest governance body for overseeing the organization's identification and management of economic, environmental, and social performance, including relevant risks and opportunities, and adherence or compliance with internationally agreed standards, codes of conduct, and principles. | Web（CSR Management） Web（Corporate Governance） Web（Compliance） |
|
| 4.10 | Processes for evaluating the highest governance body's own performance, particularly with respect to economic, environmental, and social performance. | Web（Corporate Governance） | Commitments to External Initiatives |
| 4.11 | Explanation of whether and how the precautionary approach or principle is addressed by the organization. | 21Compliance Measures of the Daiwa Securities Group 26-27（CSR Issues: Performance and Targets） Web（Business Continuity Plan） Web（Compliance） |
|
| 4.12 | Externally developed economic, environmental, and social charters, principles, or other initiatives to which the organization subscribes or endorses. | 30（The Daiwa Securities Group's CSR Activities） - The United Nations Environment Programme Finance Initiative （UNEP FI） - The Principles for Responsible Investment （PRI） - The United Nations Global Compact - The Global Reporting Initiative（GRI） |
|
| 4.13 | Memberships in associations (such as industry associations) and/or national/international advocacy organizations in which the organization:
· Has positions in governance bodies;
· Participates in projects or committees;
· Provides substantive funding beyond routine membership dues; or
· Views membership as strategic. |
Web（Human Rights Awareness） Principal Member Qualifications - Nippon Keidanren - Japan Securities Dealers Association - Industrial Federation for Human Rights, Tokyo - Work-Life Balance Promotion Model Project by the Ministry of Health, Labour and Welfare |
Stakeholder Engagement |
| 4.14 | List of stakeholder groups engaged by the organization. | Web（Corporate Mission and Principles, Management Vision） | |
| 4.15 | Basis for identification and selection of stakeholders with whom to engage. | 26-27（CSR Issues: Performance and Targets） Web（CSR Management） |
|
| 4.16 | Approaches to stakeholder engagement, including frequency of engagement by type and by stakeholder group. | 5（Communication with Families of Executives and Employees） 8-10（Message from the President and CEO） 12-15（Discussion with Stakeholders） 26-27（CSR Issues: Performance and Targets） 29（Third-party Opinion） Web（Communication with Shareholders and Investors） Web（Customer Satisfaction） Web（Creating a Workplace Supportive of Work-life Balance） |
|
| 4.17 | Key topics and concerns that have been raised through stakeholder engagement, and how the organization has responded to those key topics and concerns, including through its reporting. | 2-5（Daiwa Securities Group CSR） 12-15（Discussion with Stakeholders） 26-27（CSR Issues: Performance and Targets） 29（Third-party Opinion） |
5 Management Approach and Performance Indicators |
| Economic Performance Indicators | |||
| Disclosure on Management Approach | 8-10（Message from the President and CEO） 11（Management Summary） 6-7(Fiscal 2008 Financial Summary/Management Policy, PDF) Web（Corporate Citizenship） |
Aspect: Economic Performance | |
| EC1 | Core | Direct economic value generated and distributed, including revenues, operating costs, employee compensation, donations and other community investments, retained earnings, and payments to capital providers and governments. | Web（Distribution of Economic Value to Stakeholders） Web（The Daiwa Securities Group’s Initiatives as a Corporate Citizen） |
| EC2 | Core | Financial implications and other risks and opportunities for the organization's activities due to climate change. | 2（Leverage Financial Capabilities to Contribute to a Sustainable Society） 9（Sustainable Investment Bank Business） 18-19（Developing Effective Responses to Environmental Problems） |
| EC3 | Core | Coverage of the organization's defined benefit plan obligations. | 109 (Fiscal 2008 Securities Report/Retirement Benefits, PDF） |
| EC4 | Core | Significant financial assistance received from government. | Impact is insignificant | Aspect: Market Presence |
| EC5 | Additional | Range of ratios of standard entry level wage compared to local minimum wage at significant locations of operation. | Not reported |
| EC6 | Core | Policy, practices, and proportion of spending on locally-based suppliers at significant locations of operation. | Not reported |
| EC7 | Core | Procedures for local hiring and proportion of senior management hired from the local community at locations of significant operation. | Not reported | Aspect: Indirect Economic Impacts |
| EC8 | Core | Development and impact of infrastructure investments and services provided primarily for public benefit through commercial, in-kind, or pro bono engagement. | 17（The Second Round of Sales of Vaccine Bonds） 22（Educational Activities for a Sustainable Society） Web（Corporate Citizenship） |
| EC9 | Additional | Understanding and describing significant indirect economic impacts, including the extent of impacts. | 17（The Second Round of Sales of Vaccine Bonds） 18-19（Developing Effective Responses to Environmental Problems） |
Environmental Performance Indicators |
| Disclosure on Management Approach | 18-19（Developing Effective Responses to Environmental Problems） 26-27（CSR Issues: Performance and Targets） 28（Initiatives for Reducing Environmental Impact） Web（Environmental Impact） |
Aspect: Materials | |
| EN1 | Core | Materials used by weight or volume. | 28（Energy Conservation at the Workplace） Web（Environmental Impact） |
| EN2 | Core | Percentage of materials used that are recycled input materials. | Not reported | Aspect: Energy |
| EN3 | Core | Direct energy consumption by primary energy source. | Web（CO2 Emissions） |
| EN4 | Core | Indirect energy consumption by primary source. | Web（CO2 Emissions） |
| EN5 | Additional | Energy saved due to conservation and efficiency improvements. | Web（CO2 Emissions） |
| EN6 | Additional | Initiatives to provide energy-efficient or renewable energy based products and services, and reductions in energy requirements as a result of these initiatives. | 18-19（Developing Effective Responses to Environmental Problems） 21（Improvements in Compliance System Effectiveness） Web（Volume of Copying Paper/Forms Purchased） |
| EN7 | Additional | Initiatives to reduce indirect energy consumption and reductions achieved. | 21（Improvements in Compliance System Effectiveness） Web（CO2 Emissions） Web（Initiative to Reduce Environmental Impact） |
Aspect: Water |
| EN8 | Core | Total water withdrawal by source. | Web（Changes in Potable Water Consumption） |
| EN9 | Additional | Water sources significantly affected by withdrawal of water. | Impact is insignificant |
| EN10 | Additional | Percentage and total volume of water recycled and reused. | Not reported | Aspect: Biodiversity |
| EN11 | Core | Location and size of land owned, leased, managed in, or adjacent to, protected areas and areas of high biodiversity value outside protected areas. | Not applicable, as we have no branches in those areas |
| EN12 | Core | Description of significant impacts of activities, products, and services on biodiversity in protected areas and areas of high biodiversity value outside protected areas. | Not applicable, as we have no branches in those areas |
| EN13 | Additional | Habitats protected or restored. | Not applicable, as we have no branches in those areas |
| EN14 | Additional | Strategies, current actions, and future plans for managing impacts on biodiversity. | Web（Daiwa CI Biodiversity Conservation Fund （DCBCF）） |
| EN15 | Additional | Number of IUCN Red List species and national conservation list species with habitats in areas affected by operations, by level of extinction risk. | Not applicable, as we have no branches in those areas | Aspect: Emissions, Effluents, and Waste |
| EN16 | Core | Total direct and indirect greenhouse gas emissions by weight. | Web（CO2 Emissions） |
| EN17 | Core | Other relevant indirect greenhouse gas emissions by weight. | Not reported |
| EN18 | Additional | Initiatives to reduce greenhouse gas emissions and reductions achieved. | Web（CO2 Emissions per Employee） Web（Initiative to Reduce Environmental Impact） |
| EN19 | Core | Emissions of ozone-depleting substances by weight. | Not reported |
| EN20 | Core | NO, SO, and other significant air emissions by type and weight. | Not reported |
| EN21 | Core | Total water discharge by quality and destination. | Impact is insignificant |
| EN22 | Core | Total weight of waste by type and disposal method. | 28（Reductions in Environmental Impact during Relocation） Web（Changes in Waste Generated and Recycling Volume） |
| EN23 | Core | Total number and volume of significant spills. | Not applicable, due to the nature of our business |
| EN24 | Additional | Weight of transported, imported, exported, or treated waste deemed hazardous under the terms of the Basel Convention Annex I, II, III, and VIII, and percentage of transported waste shipped internationally. | Not applicable, due to the nature of our business |
| EN25 | Additional | Identity, size, protected status, and biodiversity value of water bodies and related habitats significantly affected by the reporting organization's discharges of water and runoff. | Not applicable, due to the nature of our business | Aspect: Products and Services |
| EN26 | Core | Initiatives to mitigate environmental impacts of products and services, and extent of impact mitigation. | 21（Improvements in Compliance System Effectiveness） 28（Initiative to Reduce Environmental Impact） Web（Environmental Impact） |
| EN27 | Core | Percentage of products sold and their packaging materials that are reclaimed by category. | Not applicable, due to the nature of our business | Aspect: Compliance |
| EN28 | Core | Monetary value of significant fines and total number of non-monetary sanctions for non-compliance with environmental laws and regulations. | We have not identified any incident of non-compliance with any environmental laws or regulations. | Aspect: Transport |
| EN29 | Additional | Significant environmental impacts of transporting products and other goods and materials used for the organization's operations, and transporting members of the workforce. | Not reported | Aspect: Overall |
| EN30 | Additional | Total environmental protection expenditures and investments by type. | Not reported | Social Performance Indicators |
| Labor Practices and Decent Work | |||
| Disclosure on Management Approach | 4-5（Building a Rewarding Workplace for Executives and Employees） 6（Corporate Principles/Valuing Human Resources） 10（Message from the President and CEO） 26-27（CSR Issues: Performance and Targets/Respect for People and Human Resource Utilization） Web（Human Resources Development and Skill Upgrading） Web（Creating a Workplace Supportive of Work-life Balance） Web（Helping Women Use Their Abilities in the Workplace） Web（Evaluation System） Web（Communication） |
Aspect: Employment | |
| LA1 | Core | Total workforce by employment type, employment contract, and region. | 11（Employee Composition） Web（Employees at the Daiwa Securities Group （Consolidated）） Web（Number of New Graduates Hired by the Daiwa Securities Group） |
| LA2 | Core | Total number and rate of employee turnover by age group, gender, and region. | Not reported |
| LA3 | Additional | Benefits provided to full-time employees that are not provided to temporary or part-time employees, by major operations. | 5（Policies for Promoting Work-life Balance） Web（Creating a Workplace Supportive of Work-life Balance） Web（Initiatives for Families） |
Aspect: Labor/Management Relations |
| LA4 | Core | Percentage of employees covered by collective bargaining agreements. | Web（Communication/Number of Employees' Union Members） |
| LA5 | Core | Minimum notice period(s) regarding operational changes, including whether it is specified in collective agreements. | Not reported | Aspect: Occupational Health and Safety |
| LA6 | Additional | Percentage of total workforce represented in formal joint management-worker health and safety committees that help monitor and advise on occupational health and safety programs. | Not reported |
| LA7 | Core | Rates of injury, occupational diseases, lost days, and absenteeism, and number of work-related fatalities by region. | Not reported |
| LA8 | Core | Education, training, counseling, prevention, and risk-control programs in place to assist workforce members, their families, or community members regarding serious diseases. | Web（Mental Health） |
| LA9 | Additional | Health and safety topics covered in formal agreements with trade unions. | Not reported | Aspect: Training and Education |
| LA10 | Core | Average hours of training per year per employee by employee category. | Not reported |
| LA11 | Additional | Programs for skills management and lifelong learning that support the continued employability of employees and assist them in managing career endings. | Web（Human Resources Development and Skill Upgrading） |
| LA12 | Additional | Percentage of employees receiving regular performance and career development reviews. | Web（Human Resources Development and Skill Upgrading） | Aspect: Diversity and Equal Opportunity |
| LA13 | Core | Composition of governance bodies and breakdown of employees per category according to gender, age group, minority group membership, and other indicators of diversity. | 5（A Supportive Work Environment for Both Men and Women/Daiwa Securities Group's Female Employee Ratio in Japan） 10（Message from the President and CEO） Web（Employees at the Daiwa Securities Group （Consolidated）） Web（Rehiring of Veteran Employees） Web（Employing Persons with Disabilities） Web（Daiwa Securities Group's Female Employee and Manager Ratios in Japan） |
| LA14 | Core | Ratio of basic salary of men to women by employee category. | Not reported |
| Human Rights | |||
| Disclosure on Management Approach | Web（Respect for People and Human Resource Utilization） Web（Human Rights Awareness） |
Aspect: Investment and Procurement Practices | |
| HR1 | Core | Percentage and total number of significant investment agreements that include human rights clauses or that have undergone human rights screening. | We have no operations in areas where there are special concerns about protection of human rights |
| HR2 | Core | Percentage of significant suppliers and contractors that have undergone screening on human rights and actions taken. | We have no operations in areas where there are special concerns about protection of human rights |
| HR3 | Additional | Total hours of employee training on policies and procedures concerning aspects of human rights that are relevant to operations, including the percentage of employees trained. | Not reported | Aspect: Non-Discrimination |
| HR4 | Core | Total number of incidents of discrimination and actions taken. | Web（Structure and Performance of the Corporate Ethics Hotline） | Aspect: Freedom of Association and Collective Bargaining |
| HR5 | Core | Operations identified in which the right to exercise freedom of association and collective bargaining may be at significant risk, and actions taken to support these rights. | Not applicable, due to the nature of our business | Aspect: Child Labor |
| HR6 | Core | Operations identified as having significant risk for incidents of child labor, and measures taken to contribute to the elimination of child labor. | Our business entails no risk of using child labor | Aspect: Forced and Compulsory Labor |
| HR7 | Core | Operations identified as having significant risk for incidents of forced or compulsory labor, and measures to contribute to the elimination of forced or compulsory labor. | Our business entails no risk of using forced labor | Aspect: Security Practices |
| HR8 | Additional | Percentage of security personnel trained in the organization's policies or procedures concerning aspects of human rights that are relevant to operations. | Not reported | Aspect: Indigenous Rights |
| HR9 | Additional | Total number of incidents of violations involving rights of indigenous people and actions taken. | Not reported | Society Performance Indicators |
| Disclosure on Management Approach | 3（Develop Sound Financial and Capital Markets for the Next Generation） 21（Compliance Measures of the Daiwa Securities Group） 26-27（CSR Issues: Performance and Targets） Web（Compliance） Web（Compliance Regime） |
Aspect: Community | |
| SO1 | Core | Nature, scope, and effectiveness of any programs and practices that assess and manage the impacts of operations on communities, including entering, operating, and exiting. | Not reported | Aspect: Corruption |
| SO2 | Core | Percentage and total number of business units analyzed for risks related to corruption. | 26-27 （CSR Issues: Performance and Targets） Web（Compliance Regime） Web（Compliance） |
SO3 | Core | Percentage of employees trained in organization's anti-corruption policies and procedures. | 3（Daiwa Securities Group CSR） 21（Compliance Measures of the Daiwa Securities Group） Web（Compliance） Web（Compliance Initiatives） |
SO4 | Core | Actions taken in response to incidents of corruption. | Not applicable | Aspect: Public Policy |
| SO5 | Core | Public policy positions and participation in public policy development and lobbying. | Web（Encouraging Work-life Balance） | SO6 | Additional | Total value of financial and in-kind contributions to political parties, politicians, and related institutions by country. | Not reported | Aspect: Anti-Competitive Behavior |
| SO7 | Additional | Total number of legal actions for anti-competitive behavior, anti-trust, and monopoly practices and their outcomes. | Not applicable | Aspect: Compliance |
| SO8 | Core | Monetary value of significant fines and total number of non-monetary sanctions for non-compliance with laws and regulations. | Not applicable | Product Responsibility |
| Disclosure on Management Approach | 21Compliance Measures of the Daiwa Securities Group 26-27CSR Issues: Performance and Targets Web（Information Security Management） Web（Improving Branch Staff Customer Service Skills） |
Aspect: Customer Health and Safety | |
| PR1 | Core | Life cycle stages in which health and safety impacts of products and services are assessed for improvement, and percentage of significant products and services categories subject to such procedures. | Not applicable, due to the nature of our business |
| PR2 | Additional | Total number of incidents of non-compliance with regulations and voluntary codes concerning health and safety impacts of products and services during their life cycle, by type of outcomes. | Not applicable, due to the nature of our business | Aspect: Product and Service Labeling |
| PR3 | Core | Type of product and service information required by procedures, and percentage of significant products and services subject to such information requirements. | 16-19（Leverage Financial Capabilities to Contribute to a Sustainable Society） 21（Compliance Measures of the Daiwa Securities Group） 26-27（CSR Issues: Performance and Targets） |
| PR4 | Additional | Total number of incidents of non-compliance with regulations and voluntary codes concerning product and service information and labeling, by type of outcomes. | Not applicable |
| PR5 | Additional | Practices related to customer satisfaction, including results of surveys measuring customer satisfaction. | Web（Call Center Initiatives） Web（Calls Received at Our Customer Call Center） |
Aspect: Marketing Communications |
| PR6 | Core | Programs for adherence to laws, standards, and voluntary codes related to marketing communications, including advertising, promotion, and sponsorship. | 3（Develop Sound Financial and Capital Markets for the Next Generation） 21（Compliance Measures of the Daiwa Securities Group） 26-27（CSR Issues: Performance and Targets） |
| PR7 | Additional | Total number of incidents of non-compliance with regulations and voluntary codes concerning marketing communications, including advertising, promotion, and sponsorship by type of outcomes. | Not applicable | Aspect: Customer Privacy |
| PR8 | Additional | Total number of substantiated complaints regarding breaches of customer privacy and losses of customer data. | Web（Calls Received at Our Customer Call Center） | Aspect: Compliance |
| PR9 | Core | Monetary value of significant fines for non-compliance with laws and regulations concerning the provision and use of products and services. | Not applicable |
| Sustainability Reporting Guidelines & Financial Services Sector Supplement |
|---|
| GRI Indicators | Page Numbers/Other References | ||
| Product and Service Impact (Financial Services Sector Specific Disclosure on Management Approach) | |||
|---|---|---|---|
| FS1 | Core | Policies with specific environmental and social components applied to business lines. | 1-3（Daiwa Securities Group CSR） 26-27(CSR Issues: Performance and Targets） Web（CSR Management） |
| FS2 | Core | Procedures for assessing and screening environmental and social risks in business lines. | Not reported |
| FS3 | Core | Processes for monitoring clients'implementation of and compliance with environmental and social requirements included in agreements or transactions. | Not reported |
| FS4 | Core | Process(es) for improving staff competency to implement the environmental and social policies and procedures as applied to business lines. | Not reported |
| FS5 | Core | Interactions with clients/investees/business partners regarding environmental and social risks and opportunities. | 12-15（Discussion with Stakeholders） 17（The Second Round of Sales of Vaccine Bonds） 19（World CO2L Bonds） |
| Product and Service Impact (Performance Indicators) | Aspect: Product Portfolio | ||
| FS6 | Core | Percentage of the portfolio forbusiness lines by specific region, size(e.g. micro/SME/large) and by sector. | 11（Management Summary） |
| FS7 | Core | Monetary value of products and services designed to deliver a specific social benefit for each business line broken down by purpose. | 17（The Second Round of Sales of Vaccine Bonds） |
| FS8 | Core | Monetary value of products and services designed to deliver a specific environmental benefit for each business line broken down by purpose. | Not reported |
| Aspect: Audit | |||
| FS9 | Core | Coverage and frequency of audits to assess implementation of environmental and social policies and risk assessment procedures. | 26-27（CSR Issues: Performance and Targets） Web（Internal Control） |
Aspect: Active Ownership |
| FS10 | Core | Percentage and number of companies held in the institution's portfolio with which the reporting organization has interacted on environmental or social issues. | Not reported |
| FS11 | Core | Percentage of assets subject to positive and negative environmental or social screening. | Not reported |
| FS12 | Core | Voting polic(ies) applied to environmental or social issues for shares over which the reporting organization holds the right to vote shares or advises on voting. | Not reported | Society (Performance Indicators) | Aspect: Community |
| FS13 | Core | Access points in low-populated or economically disadvantaged areas by type. | Not applicable |
| FS14 | Core | Initiatives to improve access to financial services for disadvantaged people. | Not reported | Product and Service Impact (Financial Services Sector Specific Disclosure on Management Approach) |
| FS15 | Core | Policies for the fair design and sale of financial products and services. | 21（Compliance Measures of the Daiwa Securities Group） 26-27（CSR Issues: Performance and Targets） |
Product Responsibility (Performance Indicators) | Aspect: Product and Service Labeling |
| FS16 | Core | Initiatives to enhance financial literacy by type of beneficiary. | 22-23（Educational Activities for a Sustainable Society） Web（Education and Research Activities in the Fields of Economics and Finance） |
