Statement on Personal Information Protection (Privacy Policy)

Purposes of Use of Personal Information related to Financial Instruments Business

The Company will handle personal information of customers of the Company within the scope necessary for the following Business and Purposes of use:
 
Business
1. Financial instruments business and related ancillary business; and
2. Business activities as permitted under the Financial Instruments and Exchange Law.
 
Purposes of Use
1. Purposes of use of personal information in connection with financial instruments business:
(a)
 soliciting, selling, and providing services and information relating to securities and other financial products;
(b)
 soliciting, selling, and providing services and information relating to the financial products handled by the
 Company and its related and affiliated companies;
(c)
 reviewing the suitability of the products and services offered by the Company under the principle of suitability;
(d)
 identification of individual customers, their agents or, where the customer is a legal entity, the person
 responsible for a particular transaction, including any representative or agent of such a legal entity;
(e)
 informing a customer of the outcome of a transaction, account balances or any other matters;
(f)
 carrying out administrative work, investigation and maintenance of records in connection with any
  transaction with a customer;
  (g)  carrying out risk management activities and taking steps to prevent unfair transactions;
  (h)  carrying out management and analysis of performance results and business;
  (i)  carrying out research and development of products and services through market research, data analysis, and
 questionnaire surveys, etc;
  (j)  performing delegated services involving the handling of personal information in an appropriate manner on behalf
 of any other party;
  (k)  overseeing the performance and business management of those who undertake the delegation of performances
 of the Company’s services;
  (l)  exercise of rights and performance of obligations under the contracts with customers, applicable domestic and
 foreign laws, regulations, etc. and contracts executed in accordance with such laws, regulations;
  (m)  provision in response to the request from domestic and foreign regulators with legitimate authority; and
  (n)  any other purposes in connection with the adequate and smooth performance of transactions between the
 Company and its customers.
2. Purposes of use of personal information in connection with credit business:
(a)
 providing products and services relating to credit transactions;
(b)
 providing products and services related to when-issued transactions, Hakkoubi-Kessai Torihiki;
(c)
 providing services related to loan business, including loans secured over securities;
(d)
 retaining, managing, amending and exercising rights under credit arrangements upon and after conferring credits;
(e)
 reviewing the suitability of the products and services under the principle of suitability;
(f)
 identification of individual customers, their agents, or where the customer is a legal entity, the person
 responsible for a particular transaction, including any representative or agent of such a legal entity;
  (g)  informing a customer of the outcome of a transaction, account balance or any other matter;
  (h)  carrying out administrative work, investigation and maintenance of records in connection with any
 transaction with a customer;
  (i)  maintaining records in connection with transactions, progress of negotiations and any other matters;
  (j)  exercise of rights and performance of obligations under the contracts with customers, applicable domestic and
 foreign laws, regulations, etc. and contracts executed in accordance with such laws, regulations;
  (k)  provision in response to the request from domestic and foreign regulators with legitimate authority; and
  (l)  any other purposes in connection with the adequate and smooth performance of transactions between the
 Company and its customers.
3. Purpose of use of personal information in connection with insurance brokerage business:
(a)
 providing customers with services relating to consultation of risk management or best advising from a legal point
 of view;
(b)
 carrying out approaching for agreement with insurance companies or negotiation for conclusion of contract of
 insurance;
 
(c)
 exercise of rights and performance of obligations under the contracts with customers, applicable domestic and
 foreign laws, regulations, etc. and contracts executed in accordance with such laws, regulations;
(d)
 provision in response to the request from domestic and foreign regulators with legitimate authority; and
(e)
 any other purposes in connection with the adequate and smooth of transactions between the Company and its
 customers.
 
Notwithstanding the purpose of use of personal information, the Company will use individual number only for the following purposes;
• Administrative duties relating to application or notification of account opening for financial instruments transactions;
and
• Administrative duties relating to preparation or submission of legal documents for financial instruments transactions

The Company shall not use or provide to third parties, information concerning race, thoughts and beliefs, family origin,
domicile of origins, health insurance and medical care, criminal records and other non-public special information, except
for the purpose necessary for the proper operation of its business or otherwise

Please note that the scope of purpose of use of personal information is regulated by the laws and regulations, and the personal information shall not be used outside of the regulated scope of purpose.
Revised on May 30, 2017
(Translation from Japanese)

Privacy Policy