FY 2019
Tokyo Financial Award“ESG Investment Category”
Submission Guidelines for Companies
1. Program Objectives
In November 2017, the Tokyo Metropolitan Government (TMG) formulated the“Global Financial City: Tokyo” Vision with the aim of making Tokyo an unrivalled global
financial center. The policy outlines the form that this city should take, concrete measures
to be taken, and the structures needed to make the vision into a reality. TMG will work
together with the national government, private sector, and other bodies in carrying out
initiatives to revitalize the city’s financial sector.
One of the initiatives of the “Global Financial City: Tokyo” Vision is the Tokyo
Financial Award. It will recognize financial businesses who are developing or providing
innovative financial products/services that help address the needs of Tokyo residents andresolve issues faced by TMG, or who are working to advance ESG investments that
contribute to sustainable urban development. Through the establishment and running ofthe Tokyo Financial Award, TMG aims to both improve convenience for Tokyo residents
and stimulate the financial industry, as well as enhance the presence of Tokyo as a globalfinancial city.
These Submission Guidelines are for companies engaged in ESG investing activities
that are consistent with the needs and challenges selected by TMG for the Award’s “ESGInvestment Category”.
2. Target Companies
The target companies are those that fulfill all the conditions set out hereunder:(1) A Japanese or Foreign Financial Company (including FinTech companies) whichis engaged in ESG investing activities that are consistent with the needs andchallenges selected by TMG. Companies that have applied for the Tokyo
Financial Award “Financial Innovation Category” cannot apply for the “ESG
Investment Category”.
(2) The Company must abide by “7. Terms of Participation”, as described in theseGuidelines.
1(3) The Company should not have violated any national laws or regulations in its
home country or global laws and regulations outside of its home country,
including global trade laws, etc.
(4) The Company should not be in arrears with the payment of taxes in its homecountry or any country of operation.
(5) The Company should not have violated any contract or agreement with a public
body in its home country or any country of operation.
(6) The Company should not be considered a threat to public safety or welfare.
(7) The Company should not be one whose purpose of business is political, orreligious, including electoral activities.
(8) The Company must not be an Organized Crime Group (an Organized Crime
Group as stipulated in item (ii) of Article 2 of the Tokyo Metropolitan Ordinancefor Eliminating Organized Crime Groups (Tokyo Metropolitan Government
Ordinance No. 54 of 2011; hereinafter referred to as “Organized Crime
Elimination Ordinance”)), and must not have an Organized Crime Group
Member, etc. (a member of an Organized Crime Group as stipulated in item (iii)of Article 2 of the Organized Crime Elimination Ordinance, or someone related
to an Organized Crime Group as stipulated in item (iv) of the same Article)
among the representatives, executives, employees, or other members of thecorporation.
3. Judging Process
A judging panel will be established to evaluate and select Companies making ESG
investments consistent with the needs and challenges of Tokyo residents, as selectedby TMG.
4. Number of Winners
Around three (No ranking will be given.).
5. Award Ceremony
Companies selected through the judging process (described above in section 3) will
receive their awards from the Tokyo Metropolitan Government at an award ceremony
held in early February 2020.
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6. Program Schedule
The schedule is as follows. The schedule set out in this document is provisional andmay be changed without prior notice.
(1) Submission of applications (August 5 – September 27, 2019)(2) Selection and announcement of the financial Companies whose ESG investing
activities are the most outstanding (October 2019 to November)(3) Award ceremony (announcement of winners) (to be held in early February 2020)
7. Terms of Participation
The companies selected as a candidate for award must comply with the following (1)and (3). Among them, the companies selected for the award also comply with (2).
(1) Participation in the final screening session and delivery of a presentation-

Selected companies are required to participate in the final screening session tobe held in Tokyo (in late November 2019) and to deliver a presentation on thecontents of the ESG investment promotion initiatives.
*If a selected Company is unable to attend the final screening session due to
exceptional circumstances, they should contact the Secretariat in advance andadjust the way of participation.

(2) Participation in the award ceremony-The person responsible for the initiative to promote ESG investments is required
to participate.

(3) Other matters to be observed:-If a Company is found to have violated any of the items listed above in section
2 (2) – (8), or found to be engaged in activities deemed by the Tokyo
Metropolitan Government as inappropriate for a participant of the Award andsubsequently, cannot offer the Tokyo Metropolitan Government a valid
explanation, their selection as a winner and award may be revoked even after theconclusion of the award ceremony .

-During evaluation, Companies agree to cooperate in providing any necessary
information or answers to questions, etc., to ensure that the evaluation processproceeds smoothly.

3-The selected Companies are required to pay for their own international travel
costs, accommodation costs, travel costs within Japan, meal costs and all otherrelated costs (efforts will be made where possible to introduce appropriate
accommodation, etc.).

-The selected Companies agree to have their information (company name,business overview, etc.) made public on the Tokyo Metropolitan Government’swebsite.

8. Points to Keep in Mind when Applying(1) Handling of personal data submitted during submission
Program applicants must agree to the following:Personal data submitted in an submission form will only be used within thescope of this program.

The applicant must have received permission from the individual whose
personal data has been provided in the submission form.

To provide Japanese companies with Japanese-language translations,Google’s Cloud Translation API will be accessed when using the GoogleTranslation tool to translate portions of data submitted by programapplicants.
*Further details on Google’s data security measures can be found here:
https://www.google.com/about/datacenters/inside/datasecurity/index.html?hl=ja(2) Submitting the personal data of individuals residing in the EU
In addition to the conditions above, residents of EU countries must agree to thefollowing terms before applying to the program: Upon completion, submitted personal data through will be viewed by theSecretariat within the scope of this program.
 Submitted personal data will be sent and stored in a server located in Japan.
While Japan has not yet received adequacy ruling by the European
Commission, personal data of the applicant will be securely stored.
 Applicants may request to access, rectify, erase, and restrict processing of theirpersonal data.
*Applicants may contact supervisory authorities in the EEA to file a complaint4

regarding personal data processing by the Tokyo Metropolitan Government.
*Please do not apply to this program if you do not agree to the above conditions
regarding use and transfer of personal data.
(3) After the program has concluded, Companies will, where possible, cooperatewith the Tokyo Metropolitan Government in its initiatives to attract foreigncompanies to Tokyo.
9. Applying for the Award
Financial Companies that wish to apply should access the submission form on theTokyo Financial Award website and fill in the necessary information before theappointed deadline.
(1) Submission procedure:-

Access the Tokyo Financial Award submission form for companies from thewebsite.
(Click here for the Submission form)-

Complete all required fields on a company basis.

-Submission shall be made of the initiatives to promote ESG investments on aproject basis.

-Confirm all fields are correct and submit.

(2) Deadline for submission:
11:59 p.m., Monday, September 27, 2019 (Japan Standard Time)(3) Selection Process
Once the deadline for submissions has passed, the judging panel will carefully
review all submissions and select the winning Companies. These winners will
be announced at the award ceremony in early February 2020. Please note thatthe information concerning the selection process will not be disclosed.

For questions concerning the Tokyo Financial Award, contact“2019 Tokyo Financial Award” Secretariat at
finaward@access2tokyo.com

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