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Anti-Money Laundering Policy

Mizuho Securities Co., Ltd.

Mizuho Securities Co., Ltd. will make every effort to prevent money laundering and financing of terrorism ("Money Laundering, etc.") based on the policy stated below. For this purpose, everyone in the organization, from the board members to the employees, must make every possible effort to prevent Money Laundering, etc.

Basic Concept

We recognize the importance of implementing countermeasures against Money Laundering, etc. We will implement appropriate measures for the prevention of Money Laundering, etc. in order to comply with the relevant rules and regulations.

Money Laundering Management

We will assign clear roles within our company for the prevention of Money Laundering, etc.

Customer Identification

  • We will implement and maintain appropriate measures for customer identification.
  • We will train all board members and employees in matters related to the prevention of Money Laundering, etc. to implement immediate and appropriate measures for customer identification.

Confirmation of Measures for Freezing Assets

  • We will implement and maintain appropriate measures to confirm assets which are or will be frozen in relation to terrorist activities.
  • We will train all board members and employees in matters related to the prevention of Money Laundering, etc. to implement immediate and appropriate measures for confirming assets which are frozen or will be frozen in relation to terrorist activities.

Reporting of Suspicious Transactions, etc.

  • We will implement and maintain appropriate measures for handling suspicious transactions.
  • We will report suspicious transactions to the relevant authorities without delay.
  • We will take appropriate actions against suspicious transactions without delay.
  • We will train all board members and employees in matters related to the prevention of Money Laundering, etc. to take appropriate actions in a timely manner for handling suspicious transactions.

Checking and Monitoring

We will check and monitor to confirm whether we are in compliance with regulations regarding the prevention of Money Laundering, etc. and will continue to improve our system based on the results.

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