Based on the principles established in the Charter of Corporate Ethics, Shinsei Securities creates a Vision and Values. The Vision and Values shall be utilized as an instrument to share our key principles internally and externally and to ensure our officers and employees behave consistent with our obligations to our customers, shareholders, and society.

We are a Securities Firm, a subsidiary of Shinsei Bank, with headquarters in Tokyo and regulated by the FSA, delivering trusted solutions to grow sustainable value with our customers, our employees, and our share holders.

Customer Focus

We provide unparalleled solutions with speed and agility based on our customer's evolving needs.

Integrity

We demand uncompromising levels of integrity and transparency in all of our activities.

Accountability

We are accountable for results, including the sound application of risk management, compliance, control, and customer protection.

Teamwork

We connect people and resources to provide exceptional customer solutions and sustain a culture where employee ideas are respected and valued.

Community

We are committed to the development of our employees, our customers, and our shareholders, and will serve the communities in which they live.

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Date

Milestone

December 2000 March 2001 May 2001 May 2002 September 2002 June 2003 September 2007

Established Shinsei Securities Co., Ltd. Registered as securities company under the Securities and Exchange Law Commenced operations Granted approval to engage in underwriting business and securities-related over-the-counter derivatives business Relocated head office to 2-1-8 Uchisaiwai-cho, Chiyoda-ku, Tokyo Registered to engage in investment advisory business Registered to engage in money lending business Registration of the Type 1 Financial Instruments Business and Type 2 Financial Instruments Business under the Financial Instruments and Exchange Law

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Trade Name:	Shinsei Securities Co., Ltd.
Address: TEL: FAX:	Shinsei Bank Building 14F 2-1-8 Uchisaiwai-cho, Chiyoda-ku, Tokyo 100-0011    +81-(0)3-6408-4800 +81-(0)3-5511-0130
A number of Registered Broker for Financial Instruments Business:	Registration No. 95 (Securities) filed with the Director-General of the Kanto Local Finance Bureau
Registration Number for Money-lending business:	Tokyo Metropolitan Governor (3) No.27473
Paid-In Capital:	8.75 billion yen (wholly owned by Shinsei Bank)
Service Offering:	Securitization product and fund sales Bond underwriting and sales Sale and structure of structured products Sale of other Financial Instruments
Rating Information: (as of June 16, 2008)	Rating and Investment Information, Inc.(R&I）  Issuer Rating A-

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