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Basic Policy regarding Anti-Social Elements

Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. (“the Company”) has prescribed the following basic policy regarding anti-social elements and, through the observance of this policy by all executives and employees, will strive to ensure the appropriateness and safety of its business operations.

1.Response as an organization
In relation to anti-social elements, the Company has established the foundation of express provisions in its Principles of Ethics and Conduct and Internal Rules, etc., and will respond as an entire organization, from the top management downward. In addition, the Company will guarantee the safety of employees who would respond to anti-social elements.
2.Cooperation with external specialist organizations
Under normal circumstances, the Company endeavors to establish a close cooperative relationship with external specialist organizations such as the police, the Centers for the Elimination of Boryokudan, and lawyers.
3.Blocking of all relationships, including business transactions
The Company shall block all relationships with anti-social elements, including business relationships.
4.Civil and criminal legal responses in times of emergency
The Company shall reject improper demands from anti-social elements, and take legal actions on both a civil and criminal basis, as the need arises.
5.Prohibition of secret deals and provision of funds
The Company shall absolutely not engage in secret deals with anti-social elements.
The Company shall absolutely not provide funds to anti-social elements.