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SuMi TRUST
CORPORATE BROCHURE

INVESTMENT MANAGEMENT

PLAN (Plan)

The Investment and Risk Committee chaired by the executive officer in charge of the Business Planning Department determines investment strategies for funds and investment styles, and related issues. In accordance with the basic investment policy, etc. determined by the Investment and Risk Committee, the fund managers formulate policies on implementing investments as their investment plans at their respective investment departments, based on the investment specifications and guidelines.

DO (Implementation)

The fund managers of their respective investment departments implement investments in line with the investment plans and manage funds. The general managers of their respective investment departments check the status of investment implementations carried out by the fund managers thereof.

Execution of buy or sell orders is carried out by traders at the Trading Department which is independent of the respective investment departments, based on execution instructions for investments from the respective investment departments.

CHECK (Examination/Assessment)

The Business Planning Department reports the monitoring status of the investment performance at the Investment and Risk Committee meeting (chaired by the executive officer in charge of the Business Planning Department), held on a monthly basis, independently from the respective investment departments in the investment division.

As for the monitoring status and the details of deliberations, feedback is promptly provided to the fund managers by the general managers of their respective investment departments (members of the Committee) and is reflected in the investments of funds.

In addition, regarding risk management and monitoring status of compliance with laws and regulations, etc., in relation to investments, they are handled by the Investment Risk Management Department, which is independent of the investment division. The monitoring results are reported at the Investment and Risk Committee meeting and the Executive Committee meeting (chaired by the president), held every month.

Investment Risk Management

Under these checks and balances, we are striving to maintain an appropriate investment structure through the consistent investment process of the PDC - PLAN-DO-CHECK - cycle.

※ The names of the structure, committee, etc. described above may be changed going forward.

CORPORATE BROCHURE

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