Compliance - JAPAN POST INSURANCE Co., Ltd.

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Japan Post Insurance assures the soundness and appropriateness of its business operations and maintains a framework that meets the trust of society by ensuring all its executives and employees comply with laws and regulations (laws, regulations, rules and internal rules, and social norms and corporate ethics) in every aspect of its business activities.

To realize our goal of becoming the "No. 1 Japanese insurance company selected by customers," we place the highest priority on compliance in the management of our business. To that end, company-wide efforts are undertaken to achieve thorough implementation of compliance.

Compliance Policies

We have formulated our compliance framework by formulating compliance rules that set out the basics for the promotion of compliance within the Company. These rules incorporate the Japan Post Group's Charter of Corporate Conduct and the Fundamental Policy for Establishment of Internal Control Systems developed by the Company's Board of Directors.

To provide a guide to the laws and regulations and other rules that concern our corporate activities, we have created a Compliance Manual that is distributed to all departments at our Head Office, branches and other relevant parties. For our executives' and employees' easy reference at any time, we have also produced a Compliance Handbook, which describes the essentials of the Compliance Manual, as well as a Pocket-Size Compliance Card, which contains a summary of our management philosophy and other directives. In addition, we work to undertake thorough implementation of compliance through our Compliance Program, a plan developed annually to lay out specific details for promoting compliance.

Compliance Promotion System

To promote compliance within our company, we have established the Compliance Committee, headed by the Chief Compliance Officer (CCO), and been holding meetings regularly.

The Compliance Committee deliberates on the management policies concerning compliance, specific compliance operations and response to various issues. It also works to achieve thorough implementation of compliance and prevent violations of compliance by monitoring and analyzing the Company's compliance promotion efforts. Also, the CCO reports on important matters to the Executive Committee, Audit Committee and Board of Directors and takes responsibility in operating and maintaining our compliance framework. The Compliance Control Department, which has been created to supervise compliance within the Company, plans and coordinates overall compliance related matters. We have also established Regional Compliance Divisions at 13 locations nationwide, which operate under direct control of the Compliance Control Department. Within their respective geographical areas of responsibility, these divisions oversee general compliance planning, coordination, promotion and guidance, and manage response to violations of compliance. In order to build a system to promote compliance companywide, we have appointed the heads of the Compliance Control Department and Regional Compliance Divisions as Compliance Officers. In addition, as the officers responsible for the promotion of compliance, we have appointed a Compliance Manager at our Head Office and Services Centers, as well as Compliance Administrators and Compliance Managers at our Regional Headquarters and branches.

To discuss matters related to the enhancement and reinforcement of the compliance framework of Japan Post, which serves as our insurance agent, we have set up a liaison meeting, members of which include the CCO. We also provide guidance to post offices and manage their compliance activities on the basis of discussion at the meeting. In addition, we have established a Compliance System Strengthening Advisory Board comprised of external experts and knowledgeable persons. This Board provides neutral and professional appraisals of matters such as the current status of our compliance along with recommendations on the future direction of our compliance efforts. We utilize these appraisals and recommendations to enhance our compliance framework.

The Internal Audit Department conducts internal audits of compliance in our business activities and checks the adequacy and effectiveness of our compliance promotion system.

Compliance Promotion System

Compliance Promotion System

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Implementing Compliance Education

Through our Compliance Program, we conduct training courses that include Compliance Administrators and Compliance Managers at our Head Office, branches and other locations. The program covers explanations and instructions regarding the role of Compliance Managers, as well as important points to note and other details regarding compliance in our business activities. In order to raise awareness of compliance, we also hold e-learning training courses for all executives and employees.

Within our Head Office, branches and other business units, we carry out activities designed to enhance compliance awareness.These activities include the use of business study groups and meetings. We also offer various training programs and compliance-related information to post offices.