Values of Daiwa Securities Group

08 Daiwa Securities Group Integrated Report 2019 Values of Daiwa Securities Group Our DNA Underpinning Sustainable Growth in years, the corporate culture that has been accumulated by Concert with Society and imprinted on the Group’s employees has been the Group’s corporate principles. Daiwa Securities Group’s corporate principles were The background to the compilation of the corporate established in 1998. In today’s Daiwa Securities Group there is principles was the Group taking another look back at its history, little or no talk of the founder’s purpose for the Company’s including reflections on securities company scandals, such as establishment or his maxims. Since the start of operations in the sokaiya (corporate racketeer) cases that followed the 1902, each and every employee has been creating the history collapse of the bubble economy in Japan, and the determination of the Group. Despite having been in operation more than 100 to reunite and rebuild the relationship of trust that had been built Daiwa Securities Group’s DNA Values That Underpin the Group’s Foundations Penetration to All Employees Corporate Principles The Daiwa Spirit Building trust 1. Exercises self-discipline and complies fully The trust and approval of customers form the very foundation of with the law, recognizing that sustainable the Daiwa Securities Group. The Group will always place the growth hinges on winning the trust of needs of customers first, and strive to develop the advanced, customers, financial and capital markets, specialized skills to offer them the most attractive products and and society at large. services of any securities group. 2. Secures sound profits by contributing to Placing importance on personnel societal and economic development through The source of the Group’s competitiveness lies in the capabilities of its employees. The Group will promote the its actions in financial and capital markets. creativity of employees by offering them a challenging and self- 3. Exerts unflagging efforts to build strong, directed working environment that encourages their abilities and sustainable, trust-based customer relations. appropriately rewards their contributions. 4. Continues to pioneer products and services in Contributing to society financial and capital markets, with each The Daiwa Securities Group will seek to benefit the economy and society through the development of healthy financial employee fulfilling his/her mission with markets. In addition to scrupulously observing both regulations confidence and pride. and internal policies, the Group will strive to maintain a high 5. Cultivates unbeatable competitiveness to sense of morality and duty, endeavoring to continue contributing overcome challenges, underpinned by strong to the sustainable growth of the societies in which we operate. company-employee trust and solidarity Maintaining healthy earnings results between colleagues. The Group will always seek to develop healthy business operations and to increase corporate value for the benefit of 6. Aims to be the securities group with the shareholders. By providing customers with attractive products highest ambitions, a positive attitude that and services, the Daiwa Securities Group will seek to generate turns hardships into opportunity, and strong profits and healthy returns for shareholders. unmatched speed. Practicing Its Values Business Strategy Medium-Term Management Plan FY2018-FY2020: “Passion for the Best” 2020 A Financial and Capital Market Pioneer That Creates the Future Action plan / Fiscal year management policy Fiscal year numerical targets and budgets Daiwa Securities Group’s Daiwa Securities Group’s Business Strategy Retail Sales Reform Strategies by Division HR Strategy Governance Strategy Financial Section Other Information 09 together with society. Daiwa Securities Group’s uniqueness, True governance, however, should be realized not only in the including ways to tackle work and compliance awareness that form of a system, but rather from the bottom up, by which become second nature to Group employees has been employees think for themselves, unite and provide support for encapsulated as Daiwa Spirit and instilled in all employees. the benefit of a company. Recognizing the importance that Having been the first listed company in Japan to move to a the Group places on its people, we believe that this is feasible holding company structure, the Group has also been working based on the longstanding DNA that we have been fostering, to build a highly transparent and objective governance system, for example through the careful nurturing of our employees, including also promptly shifting to become a company with a creation of workplace environments where they can work with Three Committees System. peace of mind and empowerment of women. Daiwa Securities Group’s Materiality (Key Issues) Leveraging financial capabilities to contribute to a sustainable society Finance Developing sound financial and capital markets for the next generation Technology Contributing to the creation of future society by utilizing advanced technologies Contributing to local communities by utilizing the Group’s network of sales offices in Regions Japan and overseas Responding to the diversified needs of customers and stakeholders Life Creating a pleasant working environment Initiatives for reducing environmental impact Corporate governance Constructing and developing an appropriate corporate governance system Creating a corporate culture that complies with laws, regulations and standards in Japan and Compliance overseas, based on self-discipline Appropriate anticorruption and human rights measures Appropriate risk management Risk management Construction and maintenance of a strong IT system Process of Identifying Materiality (Key Issues) Passion for SDGs 2018 —Daiwa Securities Group’s SDGs Promotion Communication with Discussions SDGs Declaration— Liaison Meeting Stakeholders by the Corporate Planning including outside Daiwa Securities SDGs Working Group experts at the SDGs Department’s SDGs Group’s Promotion Office Promotion Corporate Principles Collect examples Committee Materiality Extraction and sorting Daiwa Spirit of initiatives and meetings proposals out of issues Key CSR Issues CSR Materiality In 2018, the Group established the SDGs Promotion Committee, chaired by President and CEO Seiji Nakata. Proactively promoting initiatives that contribute to the SDGs through our business, we have stipulated them in Passion for SDGs 2018—Daiwa Securities Group’s SDGs Declaration—. In addition to collecting a wide range of initiative case studies related to the SDGs, on the basis of this declaration we have established, for example, an SDGs working group made up of employee volunteers and considered future visions for the Group. We have identified current Group initiatives that should be taken more deeply and matters to be newly started as issues. We organized the issues identified by this bottom-up approach and social requirements ascertained from our communications with stakeholders and the knowledge of outside experts. Following discussions at SDGs Promotion Committee meetings, we decided on Daiwa Securities Group Materiality. 10 Daiwa Securities Group Integrated Report 2019 Values of Daiwa Securities Group Corporate History financial and capital market. As a pillar in the financial and Benefit the economy and society through the capital market, we have focused our efforts on the development development of healthy financial markets of society, and it is for this very reason that this year we mark 117 years of longevity. We believe that this is why we have been Looking back at Daiwa Securities Group’s history, what we permitted to continue being a presence in society. come to see is a broadening of securities investment to In the not so distant past, we weathered the Asian currency consistently achieve asset building for the people of Japan. crisis, the global financial crisis and other experiences where The Group accomplished this through a number of initiatives, the operating environment was extraordinarily severe. Thinking including the publishing of survey reports that examine world of Daiwa Securities Group’s strategic vision, we made the markets, and by breaking new ground in Japan as the first determination that we will move forward as an independent domestic securities company to introduce investment trust securities group. methods and online trading. Such endeavors promote building The Group holds high regard for a range of societal issues, and development within the Japanese financial market itself, both in and outside of Japan. We continue to lead the industry and at the same time, have guided our trajectory of steadily with our innovative corporate culture, and work toward creating building relationships with individual customers. new securities businesses as a means of “contributing to In consideration of our past mission statement of “being society.” This includes supporting development of the financial careful and bold,” espoused from 1954, as well as our thoughts market in Myanmar and developing SDG bonds (Impact on prioritizing customer needs, Daiwa Securities Group Investment Bonds), which are without precedent. cultivates products and schemes and works as a pioneer in the 1910 Publication of the regularly issued Kinyu-Shunpo (recent news in the financial 1943 Business market) publication Established Daiwa Securities Activities Co. Ltd. by the merger of Fujimoto Securities Co. Ltd. and Nippon Trust Bank 1942 First edition of Kinyu- Daiwa

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