This document has been translated from a Japanese original for reference purposes only. In the event of any discrepancy between this translated document and the Japanese original, the original shall prevail. Sumitomo Mitsui Financial Group, Inc. assumes no responsibility for this translation or for direct, indirect or any other forms of damages arising from the translation.

Matters Disclosed on the Internet Website in Relation to

the Convocation of the Ordinary General Meeting of Shareholders

Matters regarding Stock Acquisition Rights

System to Ensure Appropriate Conduct of Operations

Matters regarding Specified Wholly Owned Subsidiary

Others

Notes to Consolidated Financial Statements

Certified Copy of the Accounting Auditor's Report of

Consolidated Financial Statements

Notes to Non-Consolidated Financial Statements

(From April 1, 2020 to March 31, 2021)

With regard to the information stated above, in accordance with laws, regulations and Article 25 of the Articles of Incorporation, it is disclosed by posting on the company's website on the Internet (https://www.smfg.co.jp/english/).

Sumitomo Mitsui Financial Group, Inc.

Matters regarding Stock Acquisition Rights

The following is the outline of the stock acquisition rights issued in accordance with the provisions of Article 238 and Article 240 of the Companies Act to Directors (excluding Outside Directors), Corporate Auditors (excluding Outside Corporate Auditors) and Executive Officers of Sumitomo Mitsui Financial Group, Inc. (hereinafter, "the Company") and its subsidiary Sumitomo Mitsui Banking Corporation (hereinafter, "SMBC"), in consideration of their execution of duties.

Type and

Allotment

Number of

number of

Issue price

Exercise

date of stock

stock

shares subject

(per stock

Exercise

price

acquisition

acquisition

to stock

acquisition

period

(per share)

rights

rights

acquisition

right)

rights

First series

August 13,

1,026

Common stock

221,500 yen

1 yen

August 13,

stock

2010

2010

acquisition

102,600 shares

to August

rights

12, 2040

Second series

August 16,

2,682

Common stock

187,200 yen

1 yen

August 16,

stock

2011

2011

acquisition

268,200 shares

to August

rights

15, 2041

Third series

August 15,

2,805

Common stock

204,200 yen

1 yen

August 15,

stock

2012

2012

acquisition

280,500 shares

to August

rights

14, 2042

Fourth series

August 14,

1,157

Common stock

415,900 yen

1 yen

August 14,

stock

2013

2013

acquisition

115,700 shares

to August

rights

13, 2043

Fifth series

August 15,

1,219

Common stock

366,100 yen

1 yen

August 15,

stock

2014

2014

acquisition

121,900 shares

to August

rights

14, 2044

Sixth series

August 18,

1,324

Common stock

490,400 yen

1 yen

August 18,

stock

2015

2015

acquisition

132,400 shares

to August

rights

17, 2045

Seventh series

August 15,

2,012

Common stock

281,100 yen

1 yen

August 15,

stock

2016

2016

acquisition

201,200 shares

to August

rights

14, 2046

1

  1. Stock acquisition rights, etc. of the Company held by the Company's Directors and Executive Officers at the end of the fiscal year

Directors (excluding

Type and

Outside Directors) and

Number of

number of

Corporate Executive

stock

shares subject

Officers

acquisition

to stock

Number of

rights

acquisition

Number of

stock

rights

holders

acquisition

rights

First series

Common

stock

8

stock

1

8

acquisition

rights

800 shares

Second series

Common

stock

8

stock

1

8

acquisition

rights

800 shares

Third series

Common

stock

7

stock

1

7

acquisition

rights

700 shares

Fourth series

Common

stock

8

stock

2

8

acquisition

rights

800 shares

Fifth series

Common

stock

12

stock

3

12

acquisition

rights

1,200 shares

Sixth series

Common

stock

57

stock

4

57

acquisition

rights

5,700 shares

Seventh

Common

series stock

33

stock

5

33

acquisition

rights

3,300 shares

(Note) These stock acquisition rights shall not be allotted to Outside Directors.

  1. Stock acquisition rights, etc. of the Company granted to employees, etc. during the fiscal year Not applicable.

2

System to Ensure Appropriate Conduct of Operations

The Company resolved at the Board of Directors to adopt systems to ensure appropriate conduct of operations of the Company, and operations of the Company and its subsidiaries (hereinafter, "the Group"), and has operated the systems. The outline is as follows:

System for the storage and

(Detail of the resolution)

management of information related

The Company shall appropriately store and manage information

to the execution of duties by

related to the execution of duties by corporate executive officers in

corporate executive officers

accordance with "Policies for Managing Information" and "Rules for

Managing Information."

(Operational status)

The Company appropriately stored and managed minutes of the

Management Committee meetings and approval documents by

corporate executive officers as well as information related to the

execution of duties by corporate executive officers in accordance

with "Policies for Managing Information" and "Rules for Managing

Information."

System for policies concerning the

(Detail of the resolution)

management of risk of loss of the

1. The Company shall establish "Policies on Comprehensive Risk

Group and others

Management" that sets forth fundamental matters on the risk

management of the Group, and the department in charge of risk

management shall cooperate with the department in charge of

corporate planning to comprehensively and systematically manage

each type of risk.

2. The basic policy on the risk management of the Group shall be

determined by the resolution of the Management Committee and

approved by the Board of Directors.

3. The Management Committee, the executive officer and the

department in charge of risk management shall manage risks in

accordance with the basic policy on the risk management of the

Group approved in the preceding paragraph.

(Operational status)

The Company has established "Policies on Comprehensive Risk

Management," and under these policies, the department in charge of

risk management cooperated with the department in charge of

corporate planning to comprehensively and systematically manage

risks. In addition, in accordance with the "Policy for Risk

Management Committee," the Risk Committee was called four times,

and the risks considered to have particularly material impact on the

Company's management and improvement in the effectiveness and

revision of the risk appetite framework (*) were deliberated. The

results were reported to the Board of Directors four times.

System for ensuring the efficient

(Detail of the resolution)

execution of duties by corporate

1. The Company shall formulate business plans to ensure the

executive officers

efficient execution of duties by corporate executive officers, and

corporate executive officers shall execute business operations and

manage operating results in accordance with the plans.

3

2. Each corporate executive officer shall appropriately allocate duties and delegate authority to executive officers and employees in accordance with "Regulations on Organization," "Rules for Managing Group Companies" and other internal rules and regulations.

(Operational status)

  • The Board of Directors formulated and resolved the business plan for fiscal 2021.
  • Based on the business plan formulated and resolved by the Board of Directors, each corporate executive officer executed their respective duties appropriately, and at the same time, executive officers and employees, who had authority delegated in accordance with "Regulations on Organization" and other internal rules and regulations, executed business operations. The status was reported to the Board of Directors four times.

* A management framework that clarifies the types and levels of risk a company is willing to take to

grow profit (risk appetite) and appropriately incorporates the risk appetite in business operations.

System for ensuring that the

(Detail of the resolution)

executive officers and employees

1. The Company shall develop "Basic Policy on Compliance and

of the Group execute their duties

Risk" and "Policies on Compliance Management" to ensure that

in accordance with laws and

the executive officers and employees of the Group execute their

regulations, and the Articles of

duties in accordance with laws and regulations, and the Articles of

Incorporation

Incorporation.

2. The Company shall formulate an annual plan for compliance with

specific measures, including establishing and revising policies,

regulations and training programs for the effective functioning of

the Group's compliance system, which shall be approved by the

Board of Directors.

3. The Company shall formulate "Regulations on Assessment of

Internal Control Over Financial Reporting" with specific measures

to establish and operate internal control over financial reporting,

and assess its effectiveness to ensure the appropriateness of

accounting treatment and reliability of financial reporting of the

Group.

4. The Company shall establish a whistleblowing system to discover

and correct violations of laws and regulations by the Group and its

executive officers and employees at an early stage and ensure the

appropriateness of its operations.

5. The Company shall establish a system for appropriately managing

the Group's basic policy on dealing with antisocial forces,

including, "the Group has nothing whatsoever to do with antisocial

forces," "the Group rejects any unreasonable request or claim from

antisocial forces, does not engage in any under-the-table dealings

with or finance those entities and, takes appropriate legal

responses as necessary," and "the Group deals with antisocial

forces systemically, in association with outside experts."

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Sumitomo Mitsui Financial Group Inc. published this content on 28 May 2021 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 31 May 2021 07:09:01 UTC.