Compliance to the laws

• With the principle of Fiduciary Duty, employees carry out all the works, comply with all types of laws, regulation of supervision and regulations, and they continue to enhance their work capability.

Upright working attitude

• Employees need to maintain upright everyday habit at all times, have to lead their everyday life in a way that is within their financial means, and should not engage in speculative asset investment or borrow excessively.

Politeness and voluntarism

• Employees need to greet customers politely, and try their best for the sake of the customers by handling work accurately and fast and should volunteer for customer-sake.

Trust and dignity maintenance

• Employees need to maintain their dignity by adopting proper attitude and mindset, and should ensure that no employee is criticized unfairly by others, and should refrain from any unethical behavior that can damage group’s credit and honor.

Confidentiality

• Employees should not leak out the undisclosed information obtained while working, without justified procedure.

Priority over group’s benefit

• If group’s interest and executives and employees’ interest clash during the work execution process, group’s interest should be prioritized and handled accordingly.

Accident reporting

• If executives and employees detect unlawful or unfair behavior, they need to try their best to report immediately and to solve the problem, and should not conceal wrong deeds.

Work cooperation

• All the executives and employees need to cooperate with each other actively for work execution, and superiors should not hand down unlawful orders to subordinates, and subordinates should not follow superiors’ unlawful orders.

Work accuracy

• Employees should not input any false or manipulated contents into any ledger or record, and executives and employees should not intervene with any behavior that may lead to this kind of result.

Matters for compliance when carrying out outside activities such as lecturing and writing for a magazine

• If employees engage in outside activities such as lecturing and writing for a magazine in relation to the financial work, effect on the group’s honor and public confidence should be factored in to prevent from engaging in damaging behavior.

Acceptance of money or valuables and entertainment

• Employees should not receive money or valuables, entertainment or comparable preferential help from customer, partner-company and employee, and should not provide unfair benefit.

Personal cash loan

• Employees should not engage in monetary transaction directly or indirectly with client company or should not act as an agent for cash loan, and executives and employees should not engage in excessive borrowing or guarantee.

Unfair human resources affairs

• Employees should not be discriminated based on gender, education level, religion and hometown for employment, promotion and transfer.

Sexual molestation and gender discrimination

• Employees need to respect each other and be polite to each other, and should not engage in sexual molestation and gender discrimination.

Prohibited illegal and unfair transaction behavior

• To root out the financial crimes, employees should not engage directly in behavior that can cause financial accident, that obstruct real-name financial transaction system and confidentiality agreement, that cause excessive behavior that leads to money laundering through irregular and illegal work handling either directly or indirectly, and other abnormal transaction behavior such as act as an agent for private financing. Likewise, employees should not engage in any illegal and expedient behavior related to finance.
• Employees should not obtain the confidential information that is not related to their work with the goal of using it outside of the work setting, and should not engage in a behavior that infringe upon confidentiality such as making demands to other executives and employees.
• Employees should not obtain the confidential information that is not related to their work with the goal of using it outside of the work setting, and should not engage in a behavior that infringe upon confidentiality such as making demands to other executives and employees.
• Executives and employees who execute work such as investing or lending to venture companies among the group’s works should not invest in the shares of the said venture company using own name or the name of a third party.
• Employees should not distribute false information in order to gain unlawful benefit, and should not engage in a behavior that leads to the manipulation of securities or manipulation of market price by causing misunderstanding.
• Employees should not engage in jointly unlawful behavior such as price fixing that entails deciding, maintaining or modifying price and transaction terms and conditions in accordance to the principles of fairness and good will based on the market principles.
• Employees should not use their superior position during transaction with customer to aggravate customer’s cost of capital in an unlawful manner, obstruct their rights, disturb the viable financial order, or engage in unviable sales activity by using exaggerated advertising and indication.