Recognition and Accreditation for SMBC Group sustainable ...€¦ · Japanese non-bank sector (including credit sales and credit card providers). The two Guarantee Centers in Tokyo

A list of external recognitionand awards for SMBC Group'ssustainable initiatives.

Recognition and Accreditation for SMBC Groupsustainable initiatives

Recognition andAccreditation

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SMFG Sustainability Report 2019

SMFG and its Group companies have earned recognition for their sustainable activities in the form of variouscertifications and awards, detailed below.

SMBC Group's proactive sustainable activities have been well-received by the markets. SMFG is included in the world'smajor ESG indices as shown below.

Index Details

■FTSE4Good Global 100 Index The FTSE 4 Good Global Index Series was created by FTSE InternationalLimited, a joint venture set up by the Financial Times newspaper of theUnited Kingdom and the London Stock Exchange

■FTSE Blossom Japan Index This index comprises Japanese stocks with relatively high ESG ratingsfrom among the 500 top ranking Japanese companies in terms of marketcapitalization. The Government Pension Investment Fund (GPIF) of Japanhas selected the index as a core ESG benchmark

This verifies that FTSE Russel has included SMFG Group in theFTSE Blossom Japan Index, having met the conditions for inclusionbased on an independent survey. The FTSE Blossom Japan Indexis created by the global index provider FTSE Russel. It is designedto measure the performance of Japanese companies that havemade an outstanding response to environment, social, andgovernance (ESG) issues. FTSE Blossom Japan Index is widelyused in the creation and evaluation of sustainable investment fundsand other financial products.

Recognition and Accreditation

SMFG's Inclusion in ESG Indices

FTSE4Good Global 100 Index

FTSE Blossom Japan Index

Detail: Close

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■MSCI Japan ESG Select LeadersIndex

An index created by US company MSCI (Morgan Stanley CapitalInternational), comprising stocks of companies that are highly evaluatedfrom an ESG perspective.

THE INCLUSION OF SUMITOMO MITSUI FINANCIAL GROUP INANY MSCI INDEX, AND THE USE OF MSCI LOGOS,TRADEMARKS, SERVICE MARKS OR INDEX NAMES HEREIN,DO NOT CONSTITUTE A SPONSORSHIP, ENDORSEMENT ORPROMOTION OF SUMITOMO MITSUI FINANCIAL GROUP BYMSCI OR ANY OF ITS AFFILIATES. THE MSCI INDEXES ARETHE EXCLUSIVE PROPERTY OF MSCI. MSCI AND THE MSCIINDEX NAMES AND LOGOS ARE TRADEMARKS OR SERVICEMARKS OF MSCI OR ITS AFFILIATES.

MSCI Japan ESG Select Leaders Index

Disclaimer Close

■SNAM Sustainability Index An ESG asset management index created by Sompo Japan NipponkoaAsset Management

■Bloomberg Gender-Equality Index An index developed in 2017 by Bloomberg that assesses initiatives,attitude to information disclosure, results, etc., of companies regardinggender equality

For other details, please see the link below.

SNAM Sustainability Index (Japanese only)

Investor Relations

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Certification Received

Recipient company Certification Details

SMBC Nikko SecuritiesCOPC® Customer ServiceProvider (CSP) Standard

Obtained certification upon meeting requirementsfor the COPC® CSP Standard, an internationalstandard for contact center operations.

SMBC Consumer Finance

COPC® CX Standard forCustomer Service Providers(CSPs), Release 6.0a

Obtained certification for three customer servicecenters in Japan (Tokyo, Osaka, Fukuoka) uponmeeting requirements for the COPC® CXStandard for Customer Service Providers (CSPs),Release 6.0a, an international standard for contactcenter operations, as the first company in theJapanese non-bank sector (including credit salesand credit card providers).The two Guarantee Centers in Tokyo and Fukuokahave obtained COPC® Customer Experience (CX)Standard for Customer Service Providers (CSPs)Release 6.0a certification, a global standard forcontact center and business process outsourcing(BPO)* operations. SMBC is the first company inJapan to obtain COPC® certification for BPOoperations.

Sumitomo Mitsui BankingCorporation

COPC® CSP Standard Release5.2

Obtained certification for two call centers in Japan(Kobe, Fukuoka) for the international qualityassurance standard "COPC® Standard Release5.2" as the first Japanese bank to acquire thestandards

SMBC Nikko Securities

Obtained certification as 5-StarRecognized Center under theHDI Five-Star CertificationProgram provided by HDI-Japan.

In the HDI Five-Star Certification Programprovided by HDI-Japan, the Japanese affiliate ofthe Help-Desk Institute, an internationalorganization in the support-service industry, thecompany was the first in Japan to obtaincertification in two divisions: the inquiry-desksegment, which evaluates call-center in-calltelephone reception, and the Web-support portalsegment, which evaluates Web support.

Awards and Certification Received

Yearreceived

Recipientcompany

Name of award/commendation Details of award/commendation

2019 SumitomoMitsui Card

Awarded a three-star rating in Japan for twoconsecutive years since 2018 in the Quality

Quality of call center operatorresponse

Awards and Certifications (SMBC Group)

Cs and Quality

Company Monitoring category of the HDI-JapanMonitoring-Desk Ratings

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2018SumitomoMitsui CardCompany

Won silver award in Best Customer Servicecategory of Contact Center World Awardscompetition (sponsored by Contact CenterWorld.com)

Call center operation reformmeasures centered onstrengthening and improvingcustomer experience (CX)

2018

SumitomoMitsui

BankingCorporation

Awarded grand prize in Japan Institute ofInformation Technology's Service HospitalityAwards 2018

Initiatives to improve hospitality byusing the latest digital technologiesto provide paperless stores

2018

SumitomoMitsui

BankingCorporation

Recognized as a "Tokyo Barrier-free MindsetsSupport Corporation" by the Tokyo MetropolitanGovernment

Initiatives to promote barrier-freemindset among employees

2018

SumitomoMitsui

BankingCorporation

Ranked first three years running in J.D. PowerJapan's Retail Banking Customer SatisfactionStudy (Japanese bank sector)

Customer satisfaction rating amongasset management customers

2017

SumitomoMitsui

BankingCorporation

Received Universal Manners Award 2017(Sustainability division)

Initiatives such as hardware thatincorporates universal design andpromoting employment of disabledpeople by the SMBC Group

2017

SumitomoMitsui

BankingCorporation

Awarded "highly commended" prize in JapanInstitute of Information Technology's ServiceHospitality Awards 2017

Initiatives to improve hospitality byusing the latest digital technologiesto provide paperless stores

2017

SumitomoMitsui

BankingCorporation

Received gold awards at the Contact CenterWorld Awards in Technology Innovation andOutbound Campaign categories at the GlobalConference sponsored byContactCenterWorld.com

Technology Innovation: Initiatives tostreamline operations and improvecustomer satisfaction andemployee satisfaction by the use ofAI in contact centersOutbound Campaign: Initiativesinvolving strategy, planning, andhuman resources to ensure thesuccess of outbound operations

2017

SumitomoMitsui

BankingCorporation

Obtained "highly commended" prize in BestCustomer Support of the Year held by theJapan Institute of Information Technology

Initiatives to improve customersatisfaction, contribute to salesactivities, and streamlineoperations using remote channels

2017

SumitomoMitsui

BankingCorporation

Awarded Technology category prize in the CallCenter Awards 2017 run by RIC Telecom Co.,Ltd.'s Computer Telephony Editing Department,publisher of "Computer Telephony" magazine

Initiatives to streamline contactcenters and improve customersatisfaction by the use oftechnology

2017

SumitomoMitsui

BankingCorporation

Obtained certification as 3-Star RecognizedCenter (top ranking in Japan) under the HDI-Japan Certification Program in the inquiry deskand Web support portal divisions.

Inquiry desk: Survey of inquiry deskquality and performanceWeb support portal: Survey of Websupport features and performance

Yearreceived

Recipientcompany


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BankingCorporation

silver award at the Global Conferencesponsored by ContactCenterWorld.com

2015

SumitomoMitsui

BankingCorporation

Received an award in the CRM Best PracticeAward sponsored by CRM Association Japanfor the second consecutive year since 2014.

Initiatives to link branches andcontribute to sales activities usingremote channels

2015

SumitomoMitsui

BankingCorporation

Awarded judges' special prizes in the "CallCenter Awards 2015" held by RIC Telecom Co.,Ltd.'s Computer Telephony Editing Department,publisher of Computer Telephony magazine.

Initiatives to improve customersatisfaction, contribute to salesactivities, and streamlineoperations using remote channels

2015

SumitomoMitsui

BankingCorporation

Obtained recommendation prize under the BestCustomer Support of The Year held by theJapan Institute of Information Technology forthe second consecutive year since 2014.

Initiatives to improve customersatisfaction, contribute to salesactivities, and streamlineoperations using remote channels.

2014SMBC Nikko

Securities

Received a silver award at the Contact CenterWorld Awards, Asia-Pacific Conferencesponsored by ContactCenterWorld.com, for thefourth successive year since 2011.

For operating methods at contactcenters and contributions toincreasing customer satisfactionand management

2013SMBC Nikko

Securities

Certified as a Gold Rank Company designatedby the Japan Telegraph and Telephone UsersAssociation

Quality of telephone service atcontact centers

2013SMBC Nikko

Securities

Received an Award for Excellence, the highesthonor, in the Best Contact Center of the YearAwards sponsored by the Japan Institute ofInformation Technology, for the fourthsuccessive year since 2010.

Operating method of contactcenters, enhanced customersatisfaction, and contribution tomanagement

2013SMBC Nikko

Securities

Received an award in the CRM Best PracticeAward sponsored by CRM Association Japan,for the sixth successive year since 2008.

Sales business model usingcontact centers

2013SMBC Nikko

Securities

Received an award in the NationwideTelephone Service Contest sponsored by theJapan Telegraph and Telephone UsersAssociation, for the ninth successive year since2005.


2013SMBC Nikko

Securities

Received an award in the NationwideCorporate Telephone Service Contestsponsored by the Japan Telegraph andTelephone Users Association, for the fifthsuccessive year since 2009.


2017

SumitomoMitsui

BankingCorporation

J.D. Power Asia Pacific's Call CenterSatisfaction Study 2017Ranked first among national banks in Japan

Customer satisfaction, includingcall center response to customers

2015 SumitomoMitsui

Received a gold award at the Contact CenterWorld Awards, Asia-Pacific Conference, and a

Initiatives to link branches andcontribute to sales activities usingremote channels

Yearreceived

Recipientcompany


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2013SMBC Nikko

Securities

Received a Three-Star Prize, the highestevaluation in Japan, in the HDI-Japan Inquiry-Desk Ratings, for the eighth successive yearsince 2006.


2012

SumitomoMitsui

BankingCorporation

In the 2012 Japan Investor Satisfaction Studyconducted by J.D.POWER SMBC rankedhighest in customer satisfaction in the full-service bank segment.

Levels of customer satisfaction foraccount offerings, customerinteraction, etc.

2010SMBC Nikko

Securities

Judge's special prize in the 2010 ContactCenter Awards sponsored by the monthlyComputer Telephony

Operating methods at contactcenters and contributions toincreasing customer satisfactionand management

2010 SMBC NikkoSecurities

Okinawa Prefecture IT Business Awardsponsored by Okinawa Prefecture

Contribution to the development ofinformation and communications

Yearreceived

Recipientcompany


industries in Okinawa Prefecture


Yearreceived

Recipientcompany

Name of award/commendationDetails of

award/commendation

2018

SumitomoMitsui

FinancialGroup

Won Principles for Financial Action for the 21st Century*Special Award*Financial action initiatives that aim to create asustainable society devised by the Ministry of theEnvironment and over 250 financial institutions andother organizations

Environmental magazineJUNIOR SAFE

2016

SumitomoMitsui

FinancialGroup

Received the Kids Design Award in the category ofdesigns that develop children's creativity and shape theirfuture at the Tenth Kids Design Award

Environmental magazineJUNIOR SAFE

2013

SumitomoMitsui

BankingCorporation

Pronounced regional winner Asia/Pacific category of theSustainable Bank of the Year category of theSustainable Finance Conference & Awards 2013sponsored by the Financial Times (FT) in conjunctionwith the IFC

Contributions, throughcorporate activity andbusiness, to sustainabilityin the three fields of theenvironment, society, andgovernance

The Environment

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218


2012

SumitomoMitsui

BankingCorporation

Nominated for shortlist in the Asia/Pacific segment of theSustainable Bank of the Year category of theSustainable Finance Conference & Awards sponsoredby the Financial Times (FT) in conjunction with theInternational Finance Corporation (IFC).

All initiatives to achievesustainability in the threefields of the environment,society, and governance

2011

SumitomoMitsui Financeand Leasing

Company

Received the highest-rank rating in the DBJEnvironmental Ratings, for which the Development Bankof Japan undertakes environmentally responsiblemanagement evaluation and provides financing atpreferential interest rates in accordance with theresultant credit ratings.

Environmentalmanagement

2011

SumitomoMitsui

BankingCorporation

Nominated for shortlist in the Cross-Regional segment ofthe Sustainable Bank of the Year category of theSustainable Finance Awards sponsored by the FinancialTimes (FT) in conjunction with the International FinanceCorporation (IFC).

All initiatives to achievesustainability in the fieldsof environment, society,governance

2011

SumitomoMitsui

BankingCorporation

Green IT Promotion Council Chairman Award at the2011 METI Green IT Awards (Commendsservices/systems with excellent energy-conservationimpact)

ATM Journal electronicstorage system(Reduces paper use by 28million A4 sheets peryear)

2010

SumitomoMitsui

BankingCorporation

7th Eco Products Awards Eco-service EnvironmentMinister's Prize (eco-products grand prize)

SMBC EnvironmentalAssessment Loan/PrivatePlacement Bond

Yearreceived

Recipientcompany

Name of award/commendationDetails of

award/commendation

2010 SumitomoMitsui

BankingCorporation

The IT General Award, one of the IT Awards sponsoredby the IT Institute (Japan Institute of InformationTechnology)

"CUTE" next-generationbranch system

2009

SumitomoMitsui

BankingCorporation

Nikkei Veritas Superiority Award (Nikkei SuperiorProducts and Services Awards)

SMBC EnvironmentalAssessment Loan/PrivatePlacement Bond

2009

SumitomoMitsui

BankingCorporation

Review Board Special Award at the 2009 METI Green ITAwards (jointly with NEC and Oki)

"CUTE" next-generationbranch system (Reducingpaper use by 3 million A4sheets per year)

2009

SumitomoMitsui

BankingCorporation

At the 18th Global Environmental Awards, sponsored bythe Fuji Sankei Group, the Fuji Sankei CommunicationsGroup Prize for excellence

Emission-rights businessand all other environment-related initiatives

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Sumitomo Mitsui CardCompany

Privacy Mark Acquisition of authorization for the Japan Institutefor Promotion of Digital Economy and Community(JIPDEC) Privacy Mark granted to enterprises thathave systems for devising appropriate measuresto protect personal information

Cedyna FinancialCorporation

Japan Research Institute



Yearreceived

Recipientcompany


2018SMBC

ConsumerFinance

Award for companies thatcontribute to the PrivacyMarksystem

Recognized for many years of maintaining andimproving measures to protect personalinformation as an enterprise granted use of thePrivacyMark and efforts to promote thePrivacyMark system

2011

SumitomoMitsui

BankingCorporation

Nominated for shortlist for 2011Compliance Innovator of the Yearin the 7th Annual ComplianceAwards sponsored by ThomsonReuters.

Initiatives to strengthen stances with regard tomoney laundering and the severing of relationswith anti-social forces


Yearreceived

Recipient companyName of

award/commendationName of award/commendation

Details ofaward/commendation

2017 Sumitomo MitsuiBanking Corporation

SMBC received a letter of appreciation fromthe Tokyo Metropolitan Board of Education as

Achievement in after schoolactivity such as support in

Security Compliance

Social Contribution Activities

a "Fiscal Year 2017 Company contributing tothe Tokyo Teaching Committee"

Tokyo Metropolitan SpecialSupport School District

2009Sumitomo Mitsui

Banking Corporation

Received certificate of commendation fromthe governor of Tokyo for contributions to aTokyo metropolitan social welfare initiative.

Meritorious service toenhance the welfare of theTokyo metropolis

220

220



Yearreceived

Recipientcompany


2019

SumitomoMitsui

FinancialGroup

Acquired 4.5stars（Top 50 Companies） at"3rd Nikkei Smart Work Management Survey"that Nihon Keizai Shimbunsha evaluatescompanies' initiatives for Smart Workmanagement

* "Smart Work Management" refers tomaximizing the potential of workers throughvaried and flexible work styles, and developingstrategies to maximize productivity and thebroader performance of the organization usingpositive feedback loops, thereby fosteringinnovation and new market development.

Implementation of Smart Workmanagement

2019

SumitomoMitsui

FinancialGroup

Acquired the highest "Gold" rank in 'PRIDEindex' where the arbitrary organization "workwith Pride" evaluates initiatives related tosexual minority issues.

Creating a workplace where thepeople of LGBT can workcomfortably

2019

SumitomoMitsui

FinancialGroup

Selected as a "Nadeshiko Brand" in theMinistry of Economy, Trade and Industry(METI) and Tokyo Stock Exchange (TSE)Nadeshiko Brand Initiative for the purpose ofselecting and publicizing enterprises thatencourage women's success in the workplace

Initiatives to encourage women'ssuccess in the workplace

2019

SumitomoMitsui

FinancialGroup,

SumitomoMitsui

BankingCorporation,SMBC NikkoSecurities,

CedynaFinancial

Corporation,Japan

ResearchInstitute

Recognized as a 2019 Certified Health andProductivity Management Organization (largeenterprise category)

Recognized for adopting businessmanagement approach toemployees' health management andtaking strategic measures toaddress it

Employees

221

221


2018 Sumitomo Acquired 4stars at "2nd Nikkei Smart Work Implementation of Smart WorkMitsui

FinancialGroup

Management Survey" that Nihon KeizaiShimbunsha evaluates companies' initiativesfor Smart Work management

management

2018

SumitomoMitsui

BankingCorporation



2018

SumitomoMitsui

FinancialGroup

Recognized as 2018 Certified Health andProductivity Management Organization (largeenterprise category)

Acquired Recognized as 2018Certified Health and ProductivityManagement Organization (largeenterprise category) from theMinistry of Economy, Trade andIndustry to companies withparticularly outstanding healthmanagement practices

2018

SumitomoMitsui

FinancialGroup

Acquired 4.5 stars (Top 40 Companies) at "1stNikkei Smart Work Management Survey" thatNihon Keizai Shimbunsha evaluatescompanies' initiatives for Smart Workmanagement

Implementation of Smart Workmanagement

2017

SumitomoMitsui

BankingCorporation



2017

SumitomoMitsui

BankingCorporation

Received the Catalyst Special Award hostedby Catalyst, a non-profit organizationestablished in the United States to globallysupport efforts to promote women'sparticipation

Strong commitment from topmanagement to promotingparticipation by women,development of measures suited toeach operating unit, and initiativesfocused on improving flexibility ofwork styles

Yearreceived

Recipientcompany


222

222


2017

SumitomoMitsui

FinancialGroup

Selected as a "Nadeshiko Brand," which arelisted companies jointly selected by theMinistry of Enterprise, Trade and Industry andTokyo Stock Exchange for excellence inpromoting active participation by women

Initiatives to promote activeparticipation by women

2017 SumitomoMitsui

FinancialGroup

Recognized as 2017 Certified Health andProductivity Management Organization (largeenterprise category)

Acquired Recognized as 2017Certified Health and ProductivityManagement Organization (largeenterprise category) from theMinistry of Economy, Trade andIndustry to companies with

Yearreceived

Recipientcompany


particularly outstanding healthmanagement practices

2015

SumitomoMitsui

BankingCorporation

Received the "Diversity ManagementSelection 100" from the Ministry of Economy,Trade and Industry to companies withparticularly outstanding diversity managementpractices

Appraised that SMBC is promotingand considering diversity as a partof important corporate management.

2015

SumitomoMitsui

FinancialGroup

SMFG was designated a "Nadeshiko Brand"by the Ministry of Economy, Trade andIndustry and the Tokyo Stock Exchange as anexcellent listed company encouraging womento play active roles in the workplace

Initiatives for promoting women'sroles in the workplace

2013

SumitomoMitsui

FinancialGroup

SMFG was designated a "Nadeshiko Brand"by the Ministry of Economy, Trade andIndustry and the Tokyo Stock Exchange as anexcellent listed company encouraging womento play active roles in the workplace.

Initiatives for promoting women'sroles in the workplace

2012

SumitomoMitsui

BankingCorporation

Named one of the best 25 companies to workfor in Japan in the "Great Place to Work"ranking conducted by the Great Place toWork® Institute Japan.

Internal systems and corporateculture

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"Kurumin" certification for thenext generation

Received "Kurumin" certification awarded byprefectural labor bureaus to companies recognizedto be taking active steps to support thedevelopment of the next generation.

Sumitomo Mitsui Financeand Leasing Company

SMBC Nikko Securities






"Platinum Kurumin Certification"

platinum kurumin mark

In addition to the previous "Kurumin Certification,"SMBC and JRI acquired the "Platinum KuruminCertification" for companies certified by the

Development of the Next Generation

Minister of Health, Labour and Welfare as takingthe lead in supporting the nurturing of the nextgeneration at an even higher level, includingnumbers of men using children raising leavesystems. (T The color differs by company. LightGreen: SMBC; Light Blue: JRI; Yellow : SMCC)




Eruboshi (second rank)certification based on the Act on

Promotion of Women'sParticipation and Advancement

in the Workplace

Acquired "Eruboshi" for companies certified by theMinister of Health, Labour and Welfare as havingexcellent initiatives in place to promote activeparticipation by women (*Second rank: SMBC,Cedyna; third rank: JRI,SMBC TB)


Japan Research InstituteEruboshi (third rank)

SMBC Trust bank

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Yearreceived

Recipientcompany

Name ofaward/commendation

Details of award/commendation

2018SMBC Nikko

Securities

12th Kids Design Award Received the12th Kids Design Award forfinance and economic education in thecategory of designs that develop children'screativity and shape their future, a first for asecurities company

*Commendation titles and the like are those used at the time they were bestowed.

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Documents

Recognition and Accreditation for SMBC Group sustainable ...€¦ · Japanese non-bank sector (including credit sales and credit card providers). The two Guarantee Centers in Tokyo