UEDA YAGI TANSHI Co., Ltd.UEDA YAGI TANSHI Co., Ltd.

UEDA YAGI TANSHI Co., Ltd.

Management Principles

● To respond accurately to diverse needs of our clients through constantly improving our short-term market intermediary function.

● To cater to needs of our shareholders through strong and effective strategic management and by vigorously expanding our base of business.

● To strive to invigorate and expand the knowledge and capabilities of and to always maintain a high level of morale among our employees.

Code of Conduct

Since its foundation, Ueda Yagi Tanshi’s Code of Conduct, which forms the foundation of its operations, has been based on the principles of Righteousness, Integrity, and Sincerity. The Japanese characters for these words can all be read “Sei”, so they are known as the “Three Sei Principles”. The Company and all its managers and employees follow this code in the execution of corporate activities.

Management and employees alike observe the Code of Conduct on their own initiative and place the utmost effort on entrenching awareness and making it a way of life in our interactions both inside and outside the Company.

Righteousness

● We will correctly understand and strictly adhere to all applicable rules and regulations and maintain sound corporate activities in accordance with society’s norms.

● We will distance ourselves from inappropriate involvement with antisocial forces and organizations that threaten the social order and public safety.

Integrity

● We must make a sharp distinction between our private and work lives and not seek personal gain through the use of our position and privileges nor through information acquired in the course of our duties.

● In our interactions with clients, we will conduct ourselves with a high level of moral awareness and conscientiousness.

Sincerity

● We will contribute to the advancement of society and earn the trust of society by recognizing the social responsibilities and public mission imposed on tanshi companies and by operating our business in a sincere, sound, and fair manner.

● We will strive for true client satisfaction and contribute to economic and social development by emphasizing the needs and interests of our clients and providing high-quality financial services that utilize our creativity and ingenuity.

● We will create a rewarding and inspiring work environment based on the recognition that the success of a company rests with its employees and by respecting the rights of all employees.

Our Corporate Logo

Our logo expresses the “Three Sei Principles”of Righteousness, Integrity, and Sincerity that has underpinned the execution of our business since its foundation, harmony with the passage of time, and the smooth operation of the money market.

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