Basic Policy for Preventing Damages by Antisocial Forces

In order to prevent damages caused by antisocial forces, and in order to fulfill our social responsibility and public mission as a financial instruments business operator and consolidate the confidence and trust from the society, which are the most important factors as a financial instruments business operator, we have prescribed the following Basic Policy and hereby declare that we will exert utmost efforts according to the Basic Policy so that we will have no relationship whatsoever with antisocial forces.

1. We will deal with antisocial forces as an organization

If we receive unreasonable demands from antisocial forces, we will deal with the situation as an organization rather than leave it in the hands of a specific person in charge or business division, and ensure the safety of our officers and employees.

2. We will deal with antisocial forces by coordinating with external expert organizations

In preparation for unreasonable demands from antisocial forces, we will routinely communicate and closely cooperate with external expert organizations such as the National Center for Removal of Criminal Organizations and attorneys who specialize in dealing with antisocial forces.

3. We will ban all relations, including transactions, with antisocial forces

We will not have any kind of relation with antisocial forces. Furthermore, if we unknowingly have some kind of relation with antisocial forces, we will promptly end such relation when it is discovered that the other party corresponds to antisocial forces.

4. In cases of emergencies, we will take legal action in terms of both civil and criminal proceedings

In response to unreasonable demands from antisocial forces, we will take legal action in terms of both civil and criminal proceedings. Specifically, we will take all possible legal steps in terms of civil proceedings and will not hesitate to initiate a criminal case such as by actively submitting a damage report.

5. We will not engage in any backroom deals with antisocial forces or provide funding to antisocial forces

Even if the unreasonable demands from antisocial forces are due to misconduct in our business activities or a scandal of our officers or employees, we will never engage in any backroom deals or provide funding in order to cover up the incident.

Formulated on July 24, 2015
Mercuria Investment Co., Ltd.