Money laundering and financing of terrorism are serious threats to a healthy financial system, and we must adopt a resolute attitude against these to prevent them.
Based on the requirement to take measures for anti-money laundering and counter-terrorist financing (hereinafter referred to as “AML/CFT”), the Company has established the following basic policy on AML/CFT as a company that handles financial instruments.

1. Leadership by Management

The Company positions AML/CFT as an important management issue, and management leads initiatives on AML/CFT.

2. Establishment of AML/CFT Systems

The Company will appropriately establish and operate AML/CFT systems. Furthermore, the Company will engage in AML/CFT initiatives including those listed below.

• Implementation of risk-based customer management
• Implementation of screening based on laws, regulations, etc. related to economic sanctions applicable in countries and regions where we conduct business
• Implementation of risk-based transaction monitoring
• Timely and appropriate notification of suspicious transactions
• Appropriate retention of data
• Implementation of appropriate education and training for all officers and employees

3. Continuous Improvement through PDCA Cycle

The Company will implement the PDCA cycle to make continuous improvements to the establishment and operation of AML/CFT systems and other initiatives based on the results of periodically implemented AML/CFT risk assessments.