1.　Background

 

Monex Group, Inc. (the “Company”) defines its corporate philosophy as “With state-of-the-art Information Technology, globally universal values and a sense of professionalism, Monex Group designs innovative ways of managing money and realizing individual self-fulfillment for an ever-changing future. Our ultimate goal is to optimize each person’s lifetime balance sheet.”

Based on our corporate philosophy, we have created and implemented a Code of Conduct which is applicable to the Company and its group companies (collectively, the “Group”) and to be observed by anyone, including directors, officers and employees, working in the Group (collectively, the “Monex People”), so that we would be able to continue providing our customers innovative and best-quality products and services, and being a company that is trusted and respected by society.

In order to further promote sustainable business management and in recognition of the importance of human rights in our business activities, we have formulated this Monex Group Human Rights Policy (this “Policy”).

The Company’s Board of Directors shall oversee the progress of promotion of this Policy. This Policy is subject to revision in response to changes in external business environment, including those in business operations and demands of stakeholders.

 

2.　Scope of Policy

 

Any and all of the Monex People, and suppliers and business partners of the Group.

 

3.　International norms to be respected and applied

 

Universal Declaration of Human Rights
Guiding Principles on Business and Human Rights
OECD Guidelines for Multinational Enterprises
Children's Rights and Business Principles

 

4.　Commitments to the Monex People

 

The Group shall respect the fundamental human rights of the Monex People by not engaging in discrimination or human rights violations, by having mutual respect and by recognizing and accepting diverse values. We will maintain a proper work environment, including equal opportunity in employment and control of overtime work that leads to overwork, as well as comply with equal work and equal pay, and not only exceed but also improve the minimum wage levels set in each country.  We shall not discriminate on the basis of race, nationality, beliefs, religion, disabilities, family origin, gender, sexual orientation, gender identity, age, health status or other, we shall not tolerate sexual harassment, power harassment or other forms of harassment, and we shall not allow forced labor, child labor or other forms of human rights abuses; and we ensure compliance with these commitments. The Group supports freedom of association and the right to collective bargaining. Furthermore, we have set up a harassment and human rights consultation desk in the Company in pursuit of a healthy, safe and open work environment free from unfair discrimination and harassment. We conduct human rights awareness training on a regular basis to further advance understanding of human rights among each and every Monex People.

 

5.　Requirement for our suppliers and business partners

 

The Group requires all our suppliers and business partners to abide by fair ethical standards. If there is an incident where a supplier or business partner is suspected of violating human rights, the Group shall work with that supplier or business partner in an appropriate manner to remedy and resolve the situation.

 

6.　Access to Remedy

 

In the event that the Group has caused or is involved in a human rights violation in our business activities or transactions with any of its supplier or business partner, we shall implement appropriate relief or corrective measures. In addition, the Company has a system that allows whistleblowers to report anonymously to the Internal Consultation and Reporting Desk which is designed to prevent the identification of whistleblowers.

 

7.　Stakeholder engagement

 

To ensure that no human rights violations of any kind are committed through our business, the Group shall engage in dialogue and discussion with its stakeholders, while maintaining ongoing constructive dialogue with NGOs and other external human rights experts.

 

The Group recognizes respect for human rights as an important issue in its business activities and has formulated the "Monex Group Human Rights Policy", which was approved by the Board of Directors on January 24, 2023. We also respect the Universal Declaration of Human Rights, the Guiding Principles on Business and Human Rights, the OECD Guidelines for Multinational Enterprises, and the Children's Rights and Business Principles. In addition, the Code of Conduct stipulates respect for human rights and diversity in Section 4, and we make the Code of Conduct known and thoroughly understood through newsletters that are issued regularly and distributed to all Group employees.

The Board of Directors supervises the progress of the Group's respect for human rights, and the Human Resources Division is in charge of reviewing and promoting measures related to respect for human rights.

To prevent harassment in the workplace, the Company regularly conducts bullying and harassment training for all officers and employees, including managers. By providing employees with opportunities to learn through education on the definition of harassment, case studies, prevention measures, and what to do in the event of an incident, we aim to prevent workplace harassment, including sexual harassment, power harassment, and harassment related to pregnancy, childbirth, childcare leave, and nursing care leave, as well as to promote mutual respect and recognition and to encourage employees to work actively and demonstrate their abilities. We also provide a work environment where each and every employee can demonstrate their abilities and play an active role.