Providing investment opportunities of superior alternative investment products through our distribution business and discretionary investment management business.
Our company will contribute to our clients’ portfolio management capabilities and the development of the asset management industry in Japan.
Our parent company, Ueda Yagi Tanshi Co., Ltd. (“UYT”) was established as Anonymous Partnership Ueda and Company in Osaka on June 20th, 1918. The founder, Kaname Ueda, designed the corporate symbol “Triple Crosses” which symbolized team work and joint-responsibility, and constituted the corporate credo 報本反始 “It rewards the origin and returns for beginning” from China Five Classics.
“Triple Crosses” represents the team work of the 3 founding members, Ueda, Shibanuma and Tazawa, as well as 正/清/誠, 3 say business principles. (These Chinese characters are pronounced as “say” in Japanese)
- 「正」 means “to be right and honest”.
- 「清」 means “integrity and moral soundness”.
- 「誠」 means “good faith and loyalty”.
We owe our profits, wealth, knowledge, health and other fortunes to the origin including heaven and earth, our country, our society, our family and everything around us, and we reward the origin with our feelings of gratitude. This is a meaning of “It rewards the origin”.
The meaning of “It returns for beginning” is to constantly improve your behavior. When reviewing our actions, we find when our accomplishments are good and keep on doing it, while at the same time correcting and stopping what is not. The goal is to have the ability to determine how to always do good at any given time.
Considering our parent company’s 3 say business principles, we constituted Code of Conduct in order to achieve our company’s vision and mission.
Ueda Yagi Securities Co., Ltd.
Code of Conduct
Based on 3 say business principles which has been carried out since inception of Ueda Yagi Group, this Code of Conduct provides the rules which the company, the directors and the employees must act in compliance with.
All directors and employees are sincerely leading efforts to comply with Code of Conduct for implementing compliance and ensuring full compliance.
１.「正」“to be right and honest”.
1-1 We properly understand all applicable laws and regulations related to securities transactions to ensure investor protection and fair trade, comply with it strictly and keep conducting corporate activities according to social norm and good common sense.
1-2 We participate in social activities as a good corporate citizen pro-actively and contributes to stability and maintenance of the social order. We correspond to forces carrying out an anti-social activity in a resolute manner and do not make any deal with the entity connected with these anti-social forces.
２.「清」“integrity and moral soundness”.
2-1 We clearly distinguish official matters from private matters, and do not obtain unjust profits personally, using the information learned in connection with any position, authority or transactions. We also pay firm attention to security management of the information learned in connection with transactions and protect it as a confidential.
2-2 When we contact with clients, we act based on superior moral consciousness.
３.「誠」“good faith and loyalty”.
3-1 We recognize our social responsibility and our public mission to be achieved, contribute to social development through faithful, healthy and fair business administration, and make efforts to gain confidence from our society. We do not perform any act disturbing the soundness and the healthy development of financial markets. With regard to any matter that may lead to doubt from a perspective of common sense or business practice for financial intermediaries, we will decide it right or wrong in accordance with this Code of Conduct.
3-2 After synthesizing the information on investor’s knowledge, experience, property and investment objective, we always act in consideration of the best interest of investors. We always focus on investment needs and interest of investors, and conduct business in a manner of good faith and fairness from the viewpoint of investors so that the interest of investors is not harmed unfairly. By providing high quality financial service and investment advisory service utilizing originality and expertise, we gain customer satisfaction and reputation, and contribute to development of the economy and the society.
3-3 Based on the understanding that the company shares the prosperity with the employees, we respect the human rights of all employees and strive to create a comfortable work environment for all employees.
Constituted on September 30, 2007.
Amended on March 12, 2008.
Amended on March 6, 2009.