Basic Policy To Protect Personal Information

The company and all of its officers and employees will comply with the following basic policy as well as with all relevant laws and regulations and guidelines from supervising authorities.

1. Information will be collected in a manner consistent with all relevant laws and regulations, and will be used only for necessary purposes. Necessary measures will be taken to ensure that such personal information is correct and up-to-date.
2. Personal information will be used only for the purpose(s) for which notification has been given. Any disclosure or provision of personal information to third parties will comply with all relevant laws and regulations and, unless mandated or other appropriate reason exists, such disclosure shall not occur without the consent of the individual.
3. In the event of a complaint being made regarding the handling of personal information, the company will quickly and appropriately investigate the legitimacy of the complaint.
4. The company will provide thorough training for officers and employees to prevent the leaking or unauthorized use of personal information. In addition, the company will appoint a responsible party to inspect and manage appropriate control systems.
5. In the event that personal information is provided to an external contractor, the company will take responsibility for ensuring that said external contractor has proper systems in place to protect the privacy of such personal information.
6. All requests from individuals for the disclosure, correction, or termination of use of personal information shall be carried out in accordance with relevant laws and regulations. In such cases, payment of prescribed fees will be required.

Taking into account clients' opinions, the company has a management system program to continuously review and improve its personal information management protection.

Purposes Of Using Personal Information

1. For the sale, or intermediary, representative, or proxy sale, of equity interests in group investment schemes, and handling of private offerings.
2. For determining appropriateness of products and services offered, based on judgment of principle of suitability.
3. To confirm the identity of customers or representatives.
4. For preparing status reports on transactions, and deposit balance reports.
5. For the payment of dividend payments etc.
6. For the performance of business transactions with customers and intermediaries.
7. For exercising rights or carrying out obligations based on contracts with customers or law.
8. For research and development of financial products and services based on carrying out market surveys, data analysis and questionnaires.
9. For managing outsourced operations appropriately, in the case where personal information processing in full or in part has been outsourced to other enterprises.
10. For other matters necessary to carry out transactions smoothly and adequately with customers and intermediaries.

In addition, in accordance with relevant laws and ordinances, sensitive information will not be used or offered to any third party for purposes other than to properly conduct our business or for other purposes deemed necessary.

Requests For Disclosure Of Personal Information

The company will accept requests for the disclosure of personal information from individuals concerned, specifically the notification, disclosure, revision, addition, suspension of use of, or the erasure or suspension of tendering to third parties of such information (collectively referred to as "disclosure"). For the detailed process of such requests, please refer to the personal information consultation service below.
In addition, please be informed in advance that the company may charge individuals for costs incurred in disclosing such information.

Personal Information Consultation Service

Inquiries regarding use of personal information should be directed to the following personal information consultation service (compliance department).