| Regulations for Nomura Trading Employees |
Article 1: Purpose
The company hereby establishes "Nomura Trading employee's action guideline" (hereunder referred to as "Guideline")
which each director and employee should pay special attention to in order to promote legitimate and fair business activities and ensure company policy
of compliance. "Compliance" means proper consideration and obedience to the laws, international rules, internal regulations as well as general business
practice. |
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Article 2: Content
The company establishes the Guideline consisting of the following 10 items. |
| (1) |
We respect the human rights and don't discriminate or commit sexual harassment. |
| (2) |
We respect the rules and regulations and behave fairly in achieving business transacitons. |
| (3) |
We don't do any unfair competition which may deteriorate our company's credibility. |
| (4) |
We observe international rules on trade and execute proper import/ export procedures. |
| (5) |
We treat our company's proprietary information as well as the information obtained from outside the company
or any third party's intellectual properties with the greatest care. |
| (6) |
We comply with the treaties and laws on the environment and conduct business activities with careful
attention to the global environment. |
| (7) |
We don't take any action which may be charged with bribery either in Japan or overseas. |
| (8) |
We take a firm stand against antisocial forces and don't give them any favor. |
| (9) |
We make a clear distinction between private and public and don't take any action which may be
against the profit of our company. |
| (10) |
We don't use our computer system for improper or illegal purposes. |
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| Article 3: Submission of Pledge |
| (1) |
All direcitors and employees of Nomura Trading and its affiliated companies shall
submit a pledge at the following occasion as a proof of consent with the Guideline as detailed in Article 2.
| 1) When Nomura Trading employees' Action Guideline is established |
| 2) For newly hired employees, at the time of their entry in the company |
| 3) In every April in a year of which the numuber is divisible by four |
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| (2) |
The pledge shall be submitted to Personnel and General Affairs Department, which shall keep all the
pledges submitted by the directors and employees until their retirement. |