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Anti-Money Laundering Policy

Mizuho Securities Co.,Ltd.

We, Mizuho Securities Co.,Ltd. hereby acknowledge an importance of preventing money laundering, terrorist financing, and financing of proliferation (hereinafter referred to as "ML/TF") and shall make our best effort to prevent ourselves and our group companies (hereinafter referred to as "MHSC"), including our customers and our employees, from engaging and/ or providing assistance to engage in ML/TF in order to contribute to maintain a stability and assist a development of the sound global financial system.

Policy

  • MHSC shall comply with any laws and regulations related to preventing ML/TF that apply.
  • MHSC shall not accept any customers or transactions involved with ML/TF.
  • MHSC shall establish an appropriate framework to prevent ML/TF and conduct the following measures:
    • Risk assessment of ML/TF
    • Customer Due Diligence such as KYC for preventing ML/TF
    • Suspicious activity reporting and implementing applicable measures such as Suspension of Accounts

Management Framework

In order to establish an appropriate framework to prevent ML/TF, MHSC shall implement the following measures:

  • Establishment and development of the organizational structure, policies and procedures for preventing ML/TF
  • Trainings to ensure all directors and employees understand the importance of preventing ML/TF and awareness of each role and responsibility in the framework
  • Assessment of compliance status of the framework for preventing ML/TF and sustained improvement of framework, based on the results of the assessment
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