Basic Policy against Anti-Social Forces

SMBC Nikko Securities makes public "Basic Policy against Anti-Social Forces" as follows;

• 1.We will cut off any relationship with Anti-Social Forces.
• 2.We will reject unfair demand and never negotiate backdoor deals, nor provide any illegal financing. We will take appropriate legal measures,
• 3.We will take measures against Anti-Social Forces with commitment of the Firm as a Whole, in close cooperation with outside specialized organization.