In line with our mission to "always create new values, for people, the community and the world," we established one of our core values as "we act proactively and professionally and adhere to the highest standards of compliance and discipline". Recognizing that we have a social responsibility to prevent corruption and bribery, we have established the "Anti-Corruption and Bribery Prevention Policy" to prohibit corruption and bribery.
We signed up to the Call to Action From Business to Government invited on the 20th anniversary of the adoption of the United Nations Convention against Corruption (UNCAC).
For details on the Call to Action, please click here.
We have established the Code of Ethics, consisting of the Charter of Corporate Ethics and the Code of Conduct for Officers and Employees, for the purpose of ensuring sound management based on high ethical standards, gaining unwavering trust from society, and contributing to the development of society, as an entity which engages in investment management and investment advisory businesses. The Charter of Corporate Ethics stipulates “compliance with laws and social norms” and the Code of Conduct for Officers and Employees stipulates “compliance with laws and regulations.” We endeavor to ensure that all the officers and employees, including the management, comply with all laws and rules related to the business in their activities, practice honest and fair corporate activities on a daily basis, do not tolerate corruption and bribery not only in the public sector but also in the relation with the private sector, and strive so that we would be widely recognized as a company with a high standard of corporate ethics.
Anti-Corruption and Bribery Prevention Policy
In addition, the Compliance Manual and the Regulations Concerning Entertainment, and Internal Meetings set forth in detail, and the general policy is not to receive any entertainment or gifts. In principle, when receiving gifts or entertainment from business partners, it is necessary to obtain prior approval. The implementation status of the procedures is monitored by the Compliance & Risk Management Office and reported to the Compliance Committee once every six months.
We signed up to the UN Global Compact (UNGC) in 2016, and endeavors to strengthen corporate governance against corruption through supporting the UNGC’s ten principles.
| 2020/3 | 2021/3 | 2022/3 | 2023/3 | |
|---|---|---|---|---|
| Total amount of political donations (yen) | 0 | 0 | 0 | 0 |
| Number of improper conduct/corruption-related cases exposed (times) | 0 | 0 | 0 | 0 |
| Number of improper conduct/corruption-related cases that resulted in punishment/dismissal (times) | 0 | 0 | 0 | 0 |
| Improper conduct/corruption-related fines, penalties, and settlement costs (yen) | 0 | 0 | 0 | 0 |