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Principles of the ESG Policy
The significance of responsible investment has been increasing globally in recent years with Japan promoting the adoption of the stewardship code and the corporate governance code. In response to this trend, there is growing interest amongst investors regarding ESG performance.
This ESG Policy has been developed by the Unison Group to meet the expectations of stakeholders, including investors, regarding compliance with environmental and social norms, contribution to society, and risk management and value creation from investee companies that the Unison Group has a partnership.
Purpose of the ESG Policy
The corporate philosophy of the Unison Group is to enhance corporate value in harmony with people.
The Unison Group, based on this ESG Policy and seeking harmony with investee companies, investors and stakeholders, aims to contribute to the improvement of corporate value through the inclusion of non-financial ESG factors in the investment process to identify opportunities to improve corporate value and risk management.
Scope of the ESG Policy
This ESG policy, in principle, applies to the companies in which the Unison Group and the funds managed by the Unison Group invest. Investee companies in which investments have been made prior to the introduction of this ESG policy are required to adopt its requirements where the Unison Group is the majority shareholder.
Approach to ESG
ESG Factors including those listed below are taken into consideration as a part of ESG activities. Additionally, investee companies and their subsidiaries are required to operate in compliance with the laws of the countries in which they operate.
- Environment: regulatory compliance covering air, wastewater, waste and soil and groundwater contamination etc
- Social: elimination of anti-social forces, remuneration systems, labor relations, health & safety, training and education, working conditions, customer health & safety and customer information privacy
- Governance: corporate governance compliance. independence of the board of directors, and inclusion/diversity
In the area of governance in particular, there is significant potential for this group to create new value by offering a “solution space” bolstered by the abundance experience it has acquired thus far, and the focus would first be on enhancing corporate value through improvements when issues are identified at the stages of screening and due diligence.
- Screening (ESG Pre-due diligence)
ESG pre-due diligence screening of potential investment candidates will be carried out using an ESG checklist or similar approach with support from external specialists as necessary.
- Due Diligence
Where ESG due diligence is considered necessary, external specialists will be appointed to assess the ESG factors identified during the pre-due diligence screening.
- Holding Period ESG Monitoring
During the holding period, investee companies will prepare a CSR report for the purposes of monitoring ESG factors identified during due diligence, as well as establishing an ESG policy and setting KPI’s as considered necessary.
Investee companies are required to promptly provide reports in the event of serious incidents and to take measures through the Board of Directors of investee companies
- Reporting to investors
Information regarding ESG performance of investee companies will be disclosed annually to investors with prompt disclosure of significant incidents.
The company and all of its officers and employees will comply with the Act concerning the Protection of Personal Information, relevant laws and regulations and the guidelines of the supervisory authorities, etc. The company sets forth the following basic policies.
- Any acquisition of personal information will be in compliance with laws and regulations. The company will endeavor to ensure that such personal information is kept correct and up-to-date to the extent necessary for achieving the purpose of use of such personal information, and will endeavor to delete such personal information without delay when the use of such personal information by the company ceases to be necessary.
- Personal information will not be used beyond the scope necessary for achieving the purposes of use. No personal information shall be disclosed or provided to third parties without the consent of the individual, unless there are justifiable reasons including where such disclosure is required pursuant to laws and regulations.
- If any complaint is made regarding the handling of personal information, the company will quickly and appropriately investigate the facts and circumstances of the complaint and respond in a sincere manner.
- The company will provide thorough training for officers and employees to prevent the leakage or unauthorized use of personal information. In addition, the company will develop appropriate management systems for personal information and appoint a person responsible for management and inspections relating to personal information protection.
- If the company outsources the handling of personal information to an external contractor, the company will supervise the said external contractor to ensure the secure management of personal information by the said external contractor.
- All requests from individuals for the disclosure, correction, or discontinuance of use of personal information shall be processed in accordance with laws and regulations. In such cases, the requesting party may be required to pay a prescribed fee to the company.
Taking into account customers' opinions, the company shall continually review and improve its management system program concerning personal information protection.
Purposes of Using Personal Information
- To provide customers with information about sale and purchase or intermediation, brokerage or agency for sale and purchase, and self-offering or private placement in respect of collective investment scheme interests.
- To provide customers with information related to execution of an investment advisory agreement.
- To determine whether it is appropriate to provide products and services in light of the principle of suitability, etc.
- To confirm the identity of customers or their representatives.
- To provide reports on transaction results, assets under management and the like to customers.
- To pay distributions, etc. to customers.
- To conduct administrative operations related to transactions between customers and other trading parties.
- To exercise rights and perform obligations pursuant to contracts with customers and laws and regulations.
- To research and develop financial products and services by carrying out market surveys, data analyses and preparing questionnaires.
- To manage outsourced operations appropriately, in the case where the handling of personal information in full or in part has been outsourced to other enterprises.
- In addition to the above, to carry out transactions adequately and smoothly with customers and other trading parties.
In accordance with laws and regulations, sensitive information will not be used or offered to any third party for purposes other than to properly conduct our business or for other purposes deemed necessary.
Process for requesting disclosure regarding personal information
Contact details for inquiries regarding personal information
If you have any inquiry or any complaint with regard to personal information such as the purposes of using personal information, please contact the following (the Compliance Committee of the company). You can use this form.
The Compliance Committee, Unison Capital, Inc.
9th Floor, The New Otani Garden Court, 4-1 Kioi-cho, Chiyoda-ku, Tokyo 102-0094
Public Inspection of Business Operators, Engaging in Specially Permitted Businesses for Qualified Institutional Investors, etc.
Unison Capital, Inc., which has been entrusted by each business operator, engaging in specially permitted businesses for qualified institutional investors, etc., will carry out public inspection by the business operator, engaging in specially permitted businesses for qualified institutional investors, etc. Please use this from to request viewing. Please note that this notice and public inspection is not issued on behalf of Unison Capital, Inc. in its capacity as business operator, engaging in specially permitted businesses for qualified institutional investors, etc.
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