Compliance Related Policies
- Compliance Policy
- Policy on Prevention of Corruption
- Policy on Giving and Receiving of Entertainment and Gifts
- Policy on Prevention of Money-laundering
- Policy on Prevention of Harm by Antisocial Forces
- Protecting Personal Information
- Prevention of Unfair Transactions
- Policy on Prevention of Insider Trading
- Policy on Prevention of Conflicts of Interest
Compliance Policy
ORIX Group has established group-wide regulations on compliance and has prescribed and promoted rules and codes of conduct designed to keep officers and employees of ORIX Group in strict adherence to legal requirements, internal rules, and generally accepted standards of business conduct.
ORIX Group has adopted its Group-wide Compliance Policy, which sets out Group compliance requirements and compliance risk management systems.
ORIX Group aims to deepen employee awareness of compliance matters and improve compliance readiness by setting various regulations and increasing awareness of them based on the Code of Conduct, which outlines all of the basic guidelines that all ORIX Group employees must follow.
Policy on Prevention of Corruption
ORIX Group maintains the highest ethical standards, adheres to all applicable laws, and endeavors to ensure that its officers, employees, representatives and agents do not perform any acts over the course of business that are or may appear to be inappropriate. ORIX Group has adopted a Group-wide Anti-Corruption Policy, which prohibits any inappropriate transfer of money regardless of circumstances or whether the other party to the transaction is a government employee, employee of a private company, or any other individual.
Policy on Giving and Receiving of Entertainment and Gifts
ORIX Group prescribes rules governing entertainment and gifts (whether given or received) in relation to government officials or the Group’s business partners in our Anti-Corruption Policy. ORIX Group prohibits the provision of entertainment or gifts as a means to obtain any unfair gain, and endeavors to conduct all transactions with government officials or business partners in a fair and transparent manner.
Policy on Prevention of Money-laundering
ORIX Group endeavors to detect and appropriately manage money laundering risks. In the ORIX Group Anti-Money Laundering Policy, ORIX Group prescribes that in all business transactions of the Group, it will not participate in transactions related to revenue arising from an unlawful act, transactions that provide funds to terrorists, or transactions that do not adhere to sanctions or money laundering regulations of relevant jurisdictions. In addition, each Group company that is involved in business subject to the Japanese Act on Prevention of Transfer of Criminal Proceeds verifies the identity of the other parties to a transaction at the beginning of such transaction and notifies the relevant authorities of any suspicious transactions, as prescribed by the act.
Policy on Prevention of Harm by Antisocial Forces
In ORIX Group’s Policy to Prevent Money Laundering, rules on policies for the prevention of money laundering, terrorism funding, and other related rules prescribe Group-wide rules for the prevention of harm by antisocial forces, including adherence to laws and regulations relating to freezing the assets of international terrorists and to the prevention of money laundering. The ORIX Group rules related to antisocial forces aim to minimize any damage or loss caused to the Group business in addition to fulfilling our basic responsibility to society to minimize the influence of antisocial forces.
Protecting Personal Information
At ORIX Group, our Policy Regarding the Handling of Personal Information outlines the rules and management procedures for the collection, storage, use, and sharing of personal information. We stringently follow the personal information protection laws of each country, and work to secure appropriate handling of personal information.
Prevention of Unfair Transactions
ORIX Group endeavors to always engage in fair and free competition. The ORIX Group Compliance Rules Relating to the Prevention of Unfair Transactions are designed to prevent ORIX Group from conducting business transactions involving any unfair business practices.
Policy on Prevention of Insider Trading
To prevent insider trading and other unfair business transactions, the ORIX Group Insider Trading Policy sets forth both the basic policy surrounding and non-disclosure of insider information obtained by officers and employees of the Group over the course of their business, the regulation of the trading of shares, as well as other matters.
Policy on Prevention of Conflicts of Interest
The ORIX Group Conflicts of Interest Policy prescribes the Group standards for avoiding conflicts of interest and sets out appropriate management of an actual or potential conflict of interest for an officer or employee of the Group.