Declaration of Compliance

President and Representative Director
Wataru Orii

As a bearer in the financial instrument market, ES-CON Asset Management Ltd. is deeply aware of its significant social responsibility from the perspective of fairness and transparency of the market. We position compliance as our most important management issue, and we are committed to establishing a compliance framework. To this end, we formulated the “Declaration of Compliance” based on the consensus of all executives and employees, and will comply with this Declaration.

  1. In order to fulfill the trust that society has placed in us, we will act responsibly as a financial instruments business operator by adhering to the Financial Instrument and Exchange Law and other laws and regulations, social norms, and internal rules, with compliance as the principle of all our actions.
  2. We will build sound business relationships, including with our group companies, through faithfully performing our duties for investors while eliminating the adverse effects of conflicts of interest transactions and through business operations that place the highest priority on investors’ interest, in accordance with the Financial Instruments and Exchange Law.
  3. We will maintain and improve our professional knowledge and skills as professional experts in the performance of our duties, and will strive to live up to the trust of our clients and society.
  4. We respect the individualities of our employees, maintain an open and comfortable work environment, and strive to create new value while taking strict action against any acts of noncompliance.
  5. We are committed to continuously improving our compliance framework in response to changes in the environment.
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