MUFG Securities EMEA plc
Slavery and Human Trafficking Statement
Financial year ending 31 December 2020
Introduction
This statement sets out the steps that MUFG Securities EMEA plc (‘MUFG Securities’ or ‘we’ or ‘us’or ‘our’) continue to take to ensure that modern slavery and human trafficking are not taking place inour supply chains or any other part of our business.
We continue to strive to maintain the highest professional and ethical standards and we expect thesame from our suppliers. Slavery and human trafficking remain entirely contradictory to MUFG’s
Corporate Vision and Code of Conduct, and have no place in or around our organisation, and we arepleased to reinforce that principle through this statement.
BackgroundThe corporate structure of our organisation has not changed and MUFG Securities remains a financial
institution incorporated in London. Our management team sits in London, and is responsible for
ensuring that our corporate framework reflects MUFG’s Corporate Vision and Code of Conduct.
This statement is published on behalf of MUFG Securities (pursuant to the UK Modern Slavery Act2015).

Policies and procedures
MUFG Securities is committed to the group’s Corporate Vision and Code of Conduct, which has beenenhanced and refreshed during the year to give our staff additional guidance on MUFG’s expectations
in relation to their conduct. During the year, all staff were provided with training on the Code of Conduct
to remind them of the core principles and behavioural expectations.
The Code of Conduct requires, amongst other things, that MUFG Securities respect the human rights of
all its employees, act with integrity, comply at all times with the letter and spirit of laws, regulations andrules that apply to us and combat criminal activity.
MUFG has also published a Human Rights Policy Statement which applies to the Group globally andwhich articulates the Group’s dedication to the respect of human rights across all operations. This
includes an expectation that our suppliers will avoid human rights violations.
MUFG’s published Environmental and Social Policy Framework sets out MUFG’s approach tomanaging the environmental and social risks arising from the business activities of the Group. The
Framework explicitly prohibits the Group and its core subsidiaries (including MUFG Securities) fromentering into any transaction involving the use of child or forced labour.
MUFG Securities continues to operate steps and measures previously identified to mitigate the risk ofslavery and human trafficking in its business and supply chains, including:•

Human resources policies that aim to create a working environment that is based on core values ofrespect, fairness, collaboration, team work, support, trust and transparency;•Whistleblowing and grievance procedures, through which employees can escalate any concerns
relating to slavery or human trafficking; and•

Anti-bribery and anti-money laundering procedures to identify and mitigate financial crimes risks,recognising that slavery and human trafficking can be associated with bribery and precursors tomoney laundering activity.

Due diligence processes
Through MUFG’s Code of Conduct, internal policies (including employment and compliance) andthrough our corporate social responsibility activities, we ensure that we do not condone or support any
forms of bullying or harassment, and we continue to be committed to embracing diversity and building
an inclusive culture where all employees are valued, respected and their opinions count.
We make our employment decisions in a non-discriminatory manner in accordance with our obligations
under the law, including any commitments to pay a living wage.
We seek to partner with suppliers whose ethical principles align with our own, and expect them tooperate fair and ethical workplaces.
Our Know Your Supplier process monitors Country Risk which takes into account both slavery andhuman trafficking considerations along with other supplier risk factors.
MUFG Securities has a risk assessment process to identify and measure risks related to slavery and toinform the enhancement of controls where required.
Training available
Regular Financial Crimes training and Code of Conduct training are provided for all staff globally. In
certain instances, such as the instructor-led training rolled-out to AML investigators, a specific humantrafficking module has been included. In addition, Whistleblowing policy and process are applied
across all of our operations, and the Whistleblowing arrangements are clearly signposted to all staff.
MUFG Securities’ senior management continues to fully recognise that slavery and human trafficking
are issues of global importance and scale. Where the processes and controls we have implemented
identify an unacceptable level of risk of modern slavery or human trafficking we are committed to taking
action, including ending those relationships.
This statement has been approved by the Board of Directors of MUFG Securities.

Signed byJohn Winter
Chief Executive Officer
MUFG Securities EMEA plc
Date: 29 April 2021