Our Commitment to Fiduciary Duties and Sustainability


Sumitomo Mitsui DS Asset Management announced “Principles of Fiduciary Duties and Sustainability” in 2020, upgrading our “Commitment to Fiduciary Duties” which had been announced in 2015 by adding sustainability elements including ESG. Our commitments are in line with “the Principles for Customer-Oriented Business Conduct” which was officially published in 2017 by the Financial Services Agency of Japan and revised in 2021. Also, they are consistent with the philosophy of “Shisan-unyo-gyo-sengen 2020” (the Declaration 2020~Invest for a Brighter Future~) which was jointly announced by Japan Investment Advisers Association and The Investment Trusts Association. By conducting corporate management and investment activities based on our "Corporate Philosophy" and “Principles of Fiduciary Duties and Sustainability”, we will fulfill our responsibility set forth in “the Principles for Customer-Oriented Business Conduct” as well as “Shisan-unyo-gyo-sengen 2020”. The related initiatives and achievements are reported in detail on our website and in our Sustainability Report.

We are committed to improve the QOL (Quality of Life) of our clients with our investment management products and services. Simultaneously, as an asset management company which constitutes a part of the investment chain, we will focus even further on investments that contributes to the resolution of environmental and social issues. In addition, not only as an asset manager but also as a corporate citizen, we will strive to realize an affluent and sustainable society through our activities such a charities, donations, promotion of diversity, and environment-friendly business operations.

Principles of Fiduciary Duties and Sustainability

To materialize our vision of becoming “the best asset management firm for your better Quality of Life (QOLs)”, we, Sumitomo Mitsui DS Asset Management, are committed to fulfilling our fiduciary duties. As a responsible institutional investor, we are also committed to fulfil management responsibilities based upon high ethical standard and professionalism. We acknowledge that our current investment activities lead to the future development of a sustainable society. Therefore, we will not only fulfill our fiduciary duties but also engage in stewardship activities and ESG investment. Simultaneously, as a corporate citizen, the way we operate our business will be environmentally and diversity conscious. In addition to this and in order to contribute to the realization of a sustainable society, we will take an active role for the sound development of local communities. Through these initiatives, we wish to grow with our clients and society in the medium to long term.

Principle 1. We will fulfill our management responsibilities as a responsible institutional investor.

  • We will exert ourselves to cultivate investment professionals who will play a central role in asset management business, and work to enhance capabilities of investment management, trading operation and risk management through utilizing state of the art IT technologies and domestic and overseas networks.
  • We will incorporate ESG factors into the investment process, and take a progressive approach to stewardship activities including engagement and exercising voting rights in order to encourage companies to enhance their sustainability and eventually contribute to augmentation of the company’s enterprise value over the medium to long term.
  • We will develop and provide the most suitable products and services such as long-term investment products to accumulate assets by identifying the true needs of clients. We will also provide timely information on the investment products using IT technology.
  • We will not only establish a rigid corporate governance structure that ensures the appropriate management of conflicts of interest and independence of management, but also endeavor to disclose risks and commissions with a high level of transparency.
  • We will strive to maintain our soundness as a company and reinforce our crisis management system to be prepared for various contingencies.

Principle 2. We will strive to materialize a sustainable society through our asset management business.

  • We recognize the significance and essentials of asset accumulation for individual investors in an aging society with fewer children. Therefore, we will engage in investor education for a wide range of generations to raise the awareness for related issues and to improve financial literacy.
  • We will work to resolve environmental issues, such as climate change, and social issues, such as human rights through our original stewardship activities and by participating in initiatives in Japan and overseas.
  • We will strengthen our efforts to develop and provide products that focus on the sustainability of society.

Principle 3. We, as a corporate citizen, will engage in activities to pass on an affluent society and the global environment to the next generation.

  • We will participate in CSR activities such as revitalizing communities and providing social welfare support.
  • We will carry out environmentally conscious business management, such as reducing greenhouse gas emissions and plastic waste.

Principle 4. We will train and educate human resources to contribute to the QOL of our clients, the society and our employees.

  • We will put in place an environment where employees with variety of values can fully demonstrate their abilities and promote diversity, including the active participation of women.
  • We will provide a variety of career support programs so that all employees regardless of ages or assignments can take pride in their work and obtain professional expertise and insight required.