In embracing good corporate governance practice, SMBC has put in place Whistle Blowing
Policy and Procedure Manual to promote high standards of ethical conduct among its
employees and vendors to set out channels and procedures for its stakeholders to raise
concern, without fear of retaliation, on any wrongdoing that they may observe within SMBC.
Who are the Whistle-blowers?
Whistle-blowers are any of the persons, listed below, who makes a whistle blowing reportpursuant to SMBC’s Whistle Blowing Policy and Procedures:
(i)

(ii)

(iii)

(iv)
(v)

SMBC employees (including senior management, contract employees, employees
during their trial or probation period, temporary-hired employees and part-time
employees directly hired by SMBC) and officers of SMBC.
Part-time and temporary-hired employees, who are sent by outside service providers,
work at offices of SMBC, or employees of other companies seconded to offices ofSMBC.
Service providers or employees of such service providers to which business
operations have been outsourced, and employees of business agents , suppliers orpartners.
Relatives or spouses of SMBC employees
Employees who were in any position (i), (ii), (iii) within one year before the whistle
blowing

Who can the whistle be blown over?
i.
ii.

Employee within SMBC
Any party or person providing services to or having a business relationship with SMBC

Allegation that may be reported on, including but NOT limited to the following:a) Violation or suspected violation of laws or regulations;b) Causing damage to any of the following:i.
Interest or reputation of SMBC
ii.
Life, body, interest or reputation of a customer, director, officer or employeeiii.
Orderly conduct of a marketc) Violation or suspected violation of SMBC guidelines or rules (including the Compliance
Manual or other compliance policies of the Bank); ord) Improper business conductReporting Channel and procedures
Whistle-blowers can raise their concern via any of the following methods:
Means

Methods

Telephone
Number:Call the Local Compliance Officer at 03-2168 1233. After call, promptly email
the completed Whistle Blowing Form.

Email address:

FillintheWhistle
Blowing
lbn_whistle_blowing@my.smbc.co.jpMailing Address:

Fill up the Whistle Blowing Form and mail it to SMBC Office:Compliance Department, Sumitomo Mitsui Banking
Corporation Malaysia Berhad.
Attention: Local Compliance Officer*This form should NOT be sent by fax.

Formandemailto:

For concern on sexual harassment, work conditions or environment, report can be raised tothe Head of Human Resource Department (HRD) via the following methods:
MeansMethods

Telephone
Number:Call the Head of HRD at 03-2176 1442. After call, promptly email thecompleted Whistle Blowing Form.

Email address:

FillintheWhistleBlowinglbn_whistle_blowing@my.smbc.co.jp

Mailing Address:

Fill up the Whistle Blowing Form and mail it to SMBC Office:Human Resources Department, Sumitomo Mitsui Banking
Corporation Malaysia Berhad.
Attention: Head of HR*This form should NOT be sent by fax.

Formandemail

Alternatively, the whistle-blowers can report to regulators or law enforcement agencies directly(eg Malaysian Anti-Corruption Commission) under the whistle-blower Protection Act 2010.
The whistle-blower may remain anonymous.
However, to facilitate investigations the whistle-blower is encouraged to disclose to the contact
office the following information:•••

His/her name;
The name of the department he/she works for; andHis/her contact number;Upon receipt of a report, the details of the allegation will be verified. Whistle-blower will be
notified by email or mail by SMBC on the receipt of the allegation and whether the allegation
will be investigated. SMBC may request the whistle-blower for additional informationnecessary for the verification of the allegations.

toThis process should not be used for improper purposes such as to make false allegations. A
person who is found to have abuse the process will be subject to disciplinary proceedings orother action.
Protection Accorded to the Whistle-blower
Whistle-blower, who whistle-blows in accordance to the policy, shall not be dismissed ortreated unfairly in any way.

WHISTLE BLOWING FORM
Date:
1. Your Information:

Name
Name of thecompany
you work for (fornon-SMBC
persons)
Employee number
Department you
belong to or workforE-mail address
Telephone number
2. Allegations:Classification:
1)
Circle theapplicable

(a)
(b)
(c)

2)
Circle theapplicable(a) Violation or suspected violation of laws or regulations (including legal
standards of administrative bodies such as cabinet and ministerialordinances)(applicable law/regulation:＊)(b) causing damages to any of the following:•Interest, reliability or reputation of SMBC
•life, body, interest or reputation of a customer, director, officer oremployee•
orderly conduct of a market or financial system(c) Violation or suspected violation of SMBC guidelines or rules (including theCompliance Manual or other compliance policies of the Bank)(applicable guidelines/rules:＊)(d) Improper business conduct (State details:)

Sexual harassment-related
Work conditions or environment-related, other than (a)Other than (a) and (b)Department
involved
Director,
officer oremployee
involved
Specificdetails＊This section may be left blank.