| (1) |
Establishment, Revision and Abrogation |
| |
The establishment and any revision or abrogation of the SII Code of Conduct will
be approved by the president of SII after deliberation by the SII Compliance Committee. |
 |
| (2) |
Application to SII Group Companies |
| |
For each SII group company, its representative shall decide to adopt the SII Code
of Conduct as the company’s code of conduct and shall apply it to the company’s directors/officers
and employees.
Any SII group company may make an addition or change to the SII Code of Conduct upon its representative’s approval
if such addition or change is necessary due to applicable laws and regulations or the custom of the country or region or
due to the company’s business activities, unless such addition or change would create any provisions contradictory
to, or less restrictive than, the corresponding provisions of the SII Code of Conduct. Any change or addition to the SII
Code of Conduct must be referred to the SII’s Compliance Department in advance. |
|
| (3) |
Familiarizing Employees with This Code |
| |
SII’s Compliance Department shall be responsible for familiarizing all directors/officers
and employees with the SII Code of Conduct. Each director/officer and supervisor shall provide guidance
and supervision to ensure that all employees in his/her charge comply with the provisions of the
SII Code of Conduct. If any employee violates the SII Code of Conduct, his/her supervisor shall immediately
report it to the compliance department and conduct investigation of such violation as well as taking
measures necessary to eliminate consequences and prevent recurrence. |
|
| (4) |
Reference |
| |
We strive to clear any doubt as to any provisions or interpretation of the SII Code
of Conduct by referring it to SII’s Compliance Department. |
|
| (5) |
Sanctions |
| |
Any person who violated or ignored any violation of the SII Code of Conduct will be subject to sanctions in accordance with the working regulations and to other discipline in terms of personnel evaluation and treatment, depending on the nature of the violation. |
Revised and effect on April 1, 2006 |
