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RBS Securities Japan Limited, Legal Information

Anti Social Organizations

In order to secure the appropriateness and soundness of business, and with the understanding of the social responsibility to eliminate Anti Social Organizations, RBS Securities Japan Limited has defined the "Basic Policy to act on Anti Social Organizations".

1. We will seclude ourselves from any relationship (including transactional relationship) with Anti Social Organizations which will pose danger towards social order and safety, by taking resolute attitude.

2. We will strongly refuse the undue claims from Anti Social Organizations. We will closely communicate with external specialists and act towards Anti Social Organizations from senior management to staff level as a single organization.

3. We will not proceed with any funding or inappropriate and/or exceptional benefit sharing towards Anti Social Organizations.

4. We will reinforce the communication with external specialists from normal circumstances, in order to obtain appropriate advice and cooperation on the occasion of acting towards Anti Social Organizations.

5. We will act on with firm stance by taking legal actions and etc., towards the undue claims such as a pressure from Anti Social Organizations pretending a client complaint.