GROUP SUSTAINABILITY PRINCIPLES

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GROUP SUSTAINABILITY PRINCIPLE

The JIA Group has established sustainability principle so that all executives and employees can recognize the ideal universal business activities to pursue in the rapidly changing global and social environments.

Through business activities based on the management philosophy of "Always be a company contributing to society by offering financial services," the JIA Group will contribute to achieving a sustainable society and promote the sustainable improvement of corporate value. Therefore, We will work to realize a sustainable society in line with the following five policies.

(1) Value creation through business
We will provide products and services that solve social issues in order to contribute to realizing a sustainable society.

(2) Solving environmental issues
In our business activities, we will consider environmental issues such as responding to climate change, effective use of resources, and biodiversity conservation to achieve a sustainable society.

(3) Respect for human rights and diversity
We will respect the human rights of stakeholders involved in all corporate activities. In addition, we will create a rewarding work environment where employees respect each other's diverse personalities and maximize their abilities and experience.

(4) Harmonious coexistence with society
In addition to contributing to society through our business, we will work to coexist with society by cooperating with local governments and educational institutions to address social and environmental issues that our business activities cannot cover.

(5) Thorough compliance
We aim to be a corporate group that is trusted by society by providing stakeholders with the highest level of security and services through appropriate corporate activities in line with the laws, regulations, social norms, and corporate ethics.


RULE FOR THE GROUP SUSTAINABILITY COMMITTEE

Japan Investment Adviser Co., Ltd. (hereinafter referred to as "JIA") has established the Group Sustainability Committee (hereinafter referred to as "the Committee") for the purpose of formulating important policies for sustainability-oriented business administration and implementing measures under said policies in the JIA Group.

A meeting of the Committee shall be convened by the chairperson and basically held twice a year, and an extraordinary meeting of the Committee may be held if necessary.

The Committee has the following functions.
(1) The Committee formulates the JIA Group's principles for sustainability and guidelines for sustainability activities of the companies of the JIA Group.

(2) The Committee encourages the companies of the JIA Group to follow sustainability-related policies, grasps the results, and conducts overall evaluation.

(3) The Committee reports the following items to the board of directors of JIA, and applies them to the board of directors of each subsidiary.

a. Establishment of the JIA Group's principles and systems for sustainability
b. Identification of material issues and discussion on measures for dealing with them
c. Setting of goals (KPIs) for dealing with material issues and progress management
d. Items regarding information disclosure
e. Dialogue with external intellectuals and feedback from them

(4) The Committee designs and implements plans and measures for sustainability of group companies.


GROUP COMPLIANCE PRINCIPLE

The JIA Group has established compliance principle so that all executives and employees would always be aware of corporate social responsibility and adhere to the spirit of compliance.

The JIA Group aims to be a corporate group that is trusted by society by providing the best security and services to stakeholders through proper corporate activities that comply with laws, regulations, social norms, and corporate ethics. Therefore, we will ensure thorough compliance in line with the following nine policies.

(1) Sound business operations

We will conduct sound business operations by recognizing the social responsibility and public mission of the JIA Group business.

(2) Legal compliance

We will comply with the letter of the law as well as the spirit of the law.

(3) Fair and transparent management

We will develop organizational structures and mechanisms to ensure the transparency and fairness of decision-making.

(4) Customer-oriented service provision

We will respond to customer needs and expectations from a customer-oriented standpoint. Thus, when conducting transactions, we will appropriately fulfill our duty of explaining the transaction and respond in good faith even after the transaction.

(5) Respect for human rights and the environment

We will contribute to the sound development of society and the economy by respecting the human rights of stakeholders and preserving the global environment.

(6) Respect for different cultural traditions and customs

We will create a symbiotic society in this global age by respecting different cultural traditions and customs.

(7) Prioritizing ethics

We will give priority to ethics without hesitation when interests and ethics conflict.

(8) Dealing with antisocial forces

We will take a firm stance against anti-social forces.

(9) Prevention of corruption

We will prohibit involvement in corrupt practices such as bribery in order to promote sound business conduct.


RULE FOR THE GROUP COMPLIANCE COMMITTEE

Japan Investment Adviser Co., Ltd. (hereinafter referred to as "JIA") has established the Group Compliance Committee (hereinafter referred to as "the Committee") for the purpose of formulating important policies for establishing a system for complying with laws and regulations and implementing measures under said policies in the JIA Group.

A meeting of the Committee shall be convened by the chairperson and basically held once a month, and an extraordinary meeting of the Committee may be held if necessary.

The Committee has the following functions.
(1) The Committee formulates the JIA Group's principles for compliance and guidelines for compliance programs of the companies of the JIA Group.

(2) The Committee encourages the companies of the JIA Group to produce compliance manuals and monitor the status of compliance, grasps the results, and conducts overall evaluation.

(3) The Committee reports the following items to the board of directors of JIA, and applies them to the board of directors of each subsidiary.

a. Trend of the enactment, amendment, and abolishment of major laws and regulations
b. Occurrence of events that demand improvements in systems, rules, etc. and measures taken
c. Progress and achievement of compliance programs
d. Other compliance-related items that need to be reported

(4) If there emerges any serious problem regarding compliance in a group company, the compliance promotion manager of said company shall notify the chairperson or vice-chairperson without delay. The Compliance Committee shall swiftly implement corrective measures and order relevant sections to submit reports on important items. In addition, the Committee shall analyze the cause of each problem and take measures for preventing recurrence. The secretariat shall summarize the information, and disseminate it among related sections.

(5) The Committee designs and implements plans and measures for group companies' compliance with laws and regulations.


GROUP RISK MANAGEMENT PRINCIPLE

The JIA Group has established risk management principle so that all executives and employees would be aware of the basics of risk management and adopt an appropriate risk management system within the JIA Group.

The JIA Group will work to grasp risks that hinder the achievement of corporate management objectives in advance through risk management activities. In addition, we will strive to reduce risks by taking preventive measures according to the significance of the risks. If a risk becomes apparent, we will do our best to avoid and minimize damage through prompt and appropriate responses. Therefore,Therefore, we will work on thorough risk management in line with the following four policies.

(1) Risk recognition and assessment

We will continuously update the comprehensive recognition and evaluation of risks in each organization to strengthen our ability to respond to risks.

(2) Monitoring and improvement

We will continuously monitor risks and promptly implement necessary corrective measures for discovered problems.

(3) Building risk sensitivity

Through education and training, we will strive to foster risk management awareness and risk sensitivity in respective executives and employees.

(4) Risk Response

If a risk becomes apparent, we place the safety and health of our stakeholders first and cooperate with relevant organizations and local communities to ensure the continuity of our business and the preservation of our assets.


RULE FOR THE GROUP RISK MANAGEMENT COMMITTEE

Japan Investment Adviser Co., Ltd. (hereinafter referred to as "JIA") has established the Group Risk Management Committee (hereinafter referred to as "the Committee") for the purpose of formulating important policies for establishing a system for risk management and implementing measures under said policies in the JIA Group.

A meeting of the Committee shall be convened by the chairperson and basically held once a month, and an extraordinary meeting of the Committee may be held if necessary.

The Committee has the following functions.
(1) The Committee formulates the JIA Group's principles for risk management and guidelines for risk management of the companies of the JIA Group.

(2) The Committee encourages the companies of the JIA Group to produce manuals for risk control and BCPs and assess risks, grasps the results, and conducts overall evaluation.

(3) The Committee reports the following items to the board of directors of JIA, and applies them to the board of directors of each subsidiary.

a. Trend of the enactment, amendment, and abolishment of major laws and regulations
b. Occurrence of events that demand improvements in systems, rules, etc. and measures taken
c. Progress and achievement of measures for risk management
d. Other risk management-related items that need to be reported

(4) If there emerges any serious problem regarding risk management in a group company, the risk management promotion manager of said company shall notify the chairperson or vice-chairperson without delay. The Risk Management Committee shall swiftly implement corrective measures and order relevant sections to submit reports on important items. In addition, the Committee shall analyze the cause of each problem and take measures for preventing recurrence. The secretariat shall summarize the information, and disseminate it among related sections.

(5) The Committee designs and implements plans and measures for group companies' risk management.