Nippon Institutional Securities Co., Ltd. (the “Company”) has established the following basic policy for the prevention of damage by anti-social forces.

  1. In order to foster the sound development of the national economy and protect investors, systematic efforts shall be made to exclude anti-social forces.
  2. The Company’s representative directors and management team shall take the necessary measures to ensure the safety of customers and employees.
  3. Absolutely no relationships, including engaging in transactions, shall be had with anti-social forces. All unjust demands from anti-social forces shall also be refused.
  4. Engaging in backroom deals with and providing funding to anti-social forces shall be strictly prohibited.
  5. External specialists including the police, law firms and the National Center for Removal of Criminal Organizations shall be referred to when unjust demands are made by anti-social forces.
  6. Both civil and criminal legal means shall be used when unjust demands are made by anti-social forces.