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Basic Policy on Anti-Social Forces

Julius Baer Nomura Wealth Management Ltd.

For the purpose of preventing damages caused by anti-social forces such as persons or groups pursuing their economic interests through violence, force of fraud, Julius Baer Nomura Wealth Management Ltd (referred to as “our company” thereafter) hereby declare the following basic policy: 

  1. In order to contribute to the sound development of the national economy and investor protection, our company shall organisationally strive to eliminate anti-social forces. 
  2. The management team including representative directors, shall take the necessary measures for ensuring the safety of all customers and employees.
  3. In accordance with the five fundamental principles to prevent damage by anti-social forces such as “Organisational Treatment,” “Close contact with external professional organisations,” “Interception of all relationships including business relationships,” “Resort to civil and criminal legal measures in case of emergencies” and “Prohibition of behind-the-scenes bargains and fund provisions,” our company shall refuse unreasonable demands made by anti-social forces and intercept any connections with them. 
  4. Our company shall take the both civil and criminal legal measures against unreasonable demands from anti-social forces.
  5. Under no circumstances, our company shall conduct the behind-the-scene bargains, the fund provisions, and inappropriate and unusual transactions with anti-social forces.
  6. In any cases where a transaction turns out to be a transaction or a suspected transaction with anti-social forces, our company shall take immediate action to terminate the contract, etc. or take the necessary steps to terminate the contract, etc.