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Corporate Ethics and Compliance

In accordance with the fundamental principles of corporate ethics, Seiko Group has established a Corporate Ethics Code of Conduct, and constantly promotes initiatives such as education and enlightenment, consultation and communication, auditing, evaluation, and more.

Fundamental Principles of Corporate Ethics

Seiko Group Corporation fulfills its corporate social responsibility by complying with statutes, respecting social ethics, and setting up healthy and sensible corporate ethics. Based on this approach, Seiko Group Corporation has established as its Basic Principles of Corporate Ethics. Seiko Group Corporation believes that it is vital for each and every one of our executives and staff to adopt the basic stance stipulated in our Fundamental Philosophy on Corporate Ethics and to establish and put into practice ethical standards that are widely accepted by society.
In order to put this approach into practice, we have established Corporate Ethics Action Guidelines for our executives and staff:

Basic Principles of Corporate Ethics /
Corporate Ethics Action Guidelines

Structure for the Promotion of Corporate Ethics and Compliance

In accordance with the Basic Principles of Corporate Ethics, the Company has established the Corporate Ethics Committee andAction Guidelines for Corporate Ethics, and consistently promotes education and enlightenment, consultation and reporting, auditing, and evaluation, etc. to all its officers and employees. Each operating company of the Group has established its own system of corporate ethics and action guidelines in accordance with characteristics of its business, relevant laws, regulations, and rules. Accordingly, when an incident involving corporate ethics occurs at an operating company, the operating company is responsible for resolving the issue. When requested by an operating company, the Company provides full cooperation and support toward resolving issues.

Compliance Promotion Activities

Corporate ethics seminars

As an effort to strengthen corporate governance and compliance systems, which is defined in its materiality, the Company continually conducts corporate ethics training for officers and employees. In fiscal year 2022, seminars focusing on revised Whistleblower Protection Act and internal reporting regulations were held in the first half of the year for employees of the Company, and seminars on effective whistleblowing systems were held in the second half for group executives and employees. In fiscal year 2023, to enhance education and awareness among management in particular, the Company is conducting participatory workshops on harassment targeted at managerial staff at its domestic Group companies, and it is working to strengthen the compliance systems of the Group.

Audits to Confirm Compliance Framework Maintenance and Promotion

In addition, the Internal Audit Department conducts audits to periodically check on the maintenance and promotion of the compliance framework. In the audit of the internal control system under the Companies Act, covering eight major companies including ours, we confirm the establishment and dissemination of basic policies and standards of conduct related to compliance, as well as the status of the risk management system.
For the evaluation of internal controls related to financial reporting (J-SOX), we examine and verify the financial reporting process and all business processes to ensure the proper preparation of financial statements.
Additionally, we carry out audits related to data protection and EU personal data handling, audits related to the handling of specific personal information, and audits related to the prevention and management of insider trading within the Group. These audits cover a broad perspective to evaluate the establishment and operation of proper internal controls.

Areas of internal control

Internal Reporting System

The Company has established a “Corporate Ethics Helpline” as a contact point to receive consultations and reporting from employees regarding corporate ethics and compliance. In addition to the internal contact point, the Company has set up an external contact point at a law firm and provides an environment that facilitates consultation and reporting for the user. The Company accepts consultations and reports on compliance more broadly than the scope defined by this system and work to resolve issues. To ensure that whistleblowers are not treated unfavorably due to consulting or reporting, the Company strictly manages information concerning whistleblowers and the content of consultation and reports.

Whistleblowing system (helpline) framework

Whistleblowing system (helpline) framework