Avoiding Involvement with Anti-Social Forces

Eliminating Any Relations with Anti- Social Forces

At Daiwa Securities Group, we are continuously persisting in activities to eradicate anti-social forces from society based on our recognition of the large role that financial institutions play in this area. We also collaborate with the police and lawyers to eliminate any relations with such forces. We have implemented a structure that prevents any relationship with anti-social forces from commencing by collecting a variety of information related to them and closely checking such information when accounts are to be opened. We also constantly accumulate new information and regularly check existing accounts in an effort to tighten the management of ongoing transactions. All Group executives and employees, including personnel serving customers at sales branches, regularly undergo training to constantly stay alert.

Basic Policy on Avoiding Involvement with Anti-Social Forces

In order to ensure the soundness and fairness of the securities market and to ensure the safety of customers and employees, Daiwa Securities Group Inc. has established a system to eliminate antisocial forces such as organized crime groups, persons related to organized crime groups, and general meeting rooms, and will take organized measures to sever all relationships with these forces.

  1. 1.The Daiwa Securities Group will not carry out any transactions whatsoever with anti-social forces.
  2. 2.If it is determined that parties already having transactions with the Daiwa Securities Group are anti-social forces, we will swiftly take appropriate measures to terminate dealings with them.
  3. 3.The Daiwa Securities Group will provide no funds to anti-social forces.
  4. 4.The Daiwa Securities Group will accept no unfair demands from antisocial forces. If it is determined that an unfair demand has been made by anti-social forces, we will take legal action in civil or criminal court against the party making the demand.
  5. 5.The Daiwa Securities Group establishes close cooperative relationships with outside parties such as the police force, the National Center for the Elimination of Boryokudan (anti-social forces), legal experts, and others.