About our policy towards
conflict of interest

Our Policies regarding Conflict of Interest

We have established the following policies regarding the conflict of interest

1. Purpose

We are aiming to properly manage transactions that have the potential of conflicting with our customers’ interests. We will carefully manage all transaction that could potentially and unfairly harm our clients’ profits.

2. Management of Conflict of Interest

We will manage the conflicts of interest

3. Types of Conflicts of Interest to be Managed

The main types of conflict of interest that we manage are as below:

  • 1) Transactions with potentially conflicting with our customers’ interests
  • 2) Transactions that may conflict with the interest of our customers and our company
  • 3) Circumstances potentially dangering the interests of other customers due to the transaction between the one customer and the company

4. How to Manage Conflicts of Interest

We will manage the conflict of interest by the following methods or a combination thereof

  • 1) Disclose the possibility that the customer's interest will be harmed
  • 2) Stop applicable transactions
  • 3) Change conditions and methods of trading
  • 4) Forming an information partition between our company's internal divisions and blocking information
  • 5) Other methods

5. Management System of Conflict of Interest

We have established a compliance office as a management department for conflicts of interest, and have established a compliance officer as chief administrator. The internal audit office will regularly audit whether the structure is functioning properly, and strive for a transparent management.