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Declaration on Personal Information Protection

Declaration on Personal Information Protection

Establishment: April 26, 2001
Revised on October 29, 2018
Shinsei Securities Co., Ltd

As its policy for handling customers' personal information and social security and tax numbers ("Individual Numbers ") (hereinafter, collectively referred to as "Personal Information "), Shinsei Securities Co., Ltd. has drawn up the "Declaration of Personal Information Protection " and announces it as set out below.

1.Compliance with related laws, etc.
The Company complies with the "Act on the Protection of Personal Information " and other laws related to the protection of "Personal Information ", guidelines by relevant ministers, policies of relevant accredited personal information protection organizations, as well as this Declaration on Personal Information Protection.
2.Purpose of Use
The Company acquires "Personal Information" of customers to the extent necessary for operations, by appropriate and lawful means. Personal information of customers shall be handled to the extent necessary for achieving the purpose, except for those cases where customers agree to a particular use and where particular data are handled in an exceptional manner pursuant to laws, etc. Personal information shall not be disclosed or provided to any third parties without the person's consent, unless there are justifiable reasons, such as disclosures are required under laws. The Company shall handle Individual Numbers solely to the extent stipulated by applicable laws and regulations.
The purpose of use of "Personal Information" in the Company is as follows:
(Purposes of using personal information on customers)
The Company handles the "Personal Information" of customers to the extent necessary for the following operations and for achieving the purpose of use.
(1)Contents of business
  1. Securities operations, including securities trading, brokerage and underwriting operations, and operations accompanying securities operations.
  2. Investment advisory/agency business, moneylending business, and operations accompanying these businesses.
  3. Other operations that financial instrument dealers engaged in "First-Class Financial Instruments Transaction Business" (dai-isshu kinyu-shouhin-torihiki-gyo) are allowed to perform, and other operations accompanying these operations, including those to be authorized in the future.
(2)Purpose of use
  1. To recommend, sell and introduce services for securities and financial products under the Financial Instruments and Exchange Law.
  2. To recommend, sell and introduce services for securities and financial products of the Company, related firms or collaborating firms under tie-up agreements.
  3. To judge the appropriateness of financial products and services provided in light of suitability rule, etc.
  4. To confirm the identity of customers or their agents.
  5. To report transaction results, the amounts of outstanding deposits, etc. to customers.
  6. To perform operations related to transactions with customers.
  7. To research and develop financial products and services by implementing market surveys, analyzing data, questionnaires, etc.
  8. To appropriately process personal information which is entirely or partially entrusted by other firms, etc.
  9. To recommend, sell and introduce services for credit businesses.
  10. To appropriately and smoothly perform transactions with customers.
    In accordance with Cabinet Office regulations related to financial products exchange operations, etc., the Company shall not use or offer to third parties information on race, creed, ancestry, registered domicile, healthcare or criminal history or other undisclosed special information obtained through operations for purposes other than those recognized as necessary for the appropriate management of operations, etc.
  11. Notwithstanding the purpose of use of personal information set forth in the preceding items, the Company shall use Individual Numbers solely for the following operations: "applications for/notifications of account openings for financial instruments transactions," "preparations/submissions of legal documents for financial instruments transactions," and "provision of financial instruments transactions information to transfer agencies and so forth."
(3)Joint use
  1. Scope of joint users of personal data
    Shinsei Bank, Limited and the Bank's consolidated subsidiaries and equity-method affiliates stated in its financial statements, etc. (when there are restrictions on joint use under relevant laws, etc., such as Financial Instruments and Exchange Law, it will be handled in accordance with the laws, etc.) and the Company may jointly use personal data for the purpose of internal control, etc.
  2. Personal data items subject to joint use
    (i)Customer information, such as name, address, birth date, telephone number, e-mail address, information on family, workplace, assets/liabilities, transaction needs, and disclosed information.
    (ii)Information related to details of individual transactions entered into with customers, such as type of transaction products and services, etc.; control numbers, including transaction account number; and transaction record, including closing date and transaction amount.
    (iii) Information necessary for controlling transactions with customers, such as information on products and services, etc. (e.g., information of outstanding balance); transaction history information; and information used for making judgments of loans.
  3. Name of the Personal Data Control Officer
    Shinsei Securities Co., Ltd.
3.Safety management measures
The Company endeavors to maintain correct and up-to-date "Personal Information" on its customers. At the same time, with a view to preventing leakage, etc. of "Personal Information" on its customers, the Company takes the necessary and appropriate safety management measures, and also supervises its officers and employees, and outsourced agents in an appropriate manner.
4.Continuous improvement
The Company will make every effort to review this Protection Declaration from time to time and to make continuous improvements with the purpose of ensuring that "Personal Information" on its customers is properly handled.
5.Procedures for disclosure and other requests
When applications for disclosure, revisions, additions or deletions of contents, suspension of use, elimination, or suspension of provision to third parties are filed by customers with regard to their personal information that is held by the Company, the Company shall make every effort to respond to them appropriately and immediately, after confirming the identity of the customers. If customers apply for disclosure of whether the Company possesses their Individual Numbers, the Company shall only disclose its possession or non-possession of their Individual Numbers.
6.Inquiries, feedback, and complaints
The Company shall handle customers' inquiries, feedback and complaints relating to "Personal Information" in an immediate and conscientious manner. Please contact the following liaison section of the Company for any inquiries, feedback and complaints.

Legal & Compliance Division:
4-3, Nihonbashi-muromachi, 2-chome, Chuo-ku, Tokyo 103-0022
Tel:+81-(0)3-6880-6000
Service hours:09:00 to 17:00(excluding Saturdays, Sundays, national holidays, and year-end/New Year holidays

7.Accredited Personal Information Protection Organizations
The Company is a member of the Japan Securities Dealers Association, which is a personal information protection organization accredited by the Personal Information Protection Commission. The Personal Information Office of the Association accepts complaints and consultations from its members regarding the handling of personal information.

Complaints and consultations liaison section:
Japan Securities Dealers Association,
Personal Information Consultation Office    Tel:03-6665-6784
URL:http://www.jsda.or.jp

Main sources and main outsourced operations of "Personal Information"

[Main sources of Personal Information]
Main sources of personal information obtained by the Company are as follows.
  • Information customers provided directly in the application forms for opening accounts or in questionnaires, etc.
  • Information described in publications sold in the market such as Quarterly Corporate Report, Quarterly Executives Report, etc. and information made public by the media and the Internet.
  • Information obtained from customers in the process of provision of products or services.(* Incoming calls to our Call Center from customers are recorded for the purpose of improving the accuracy and quality of our customer services.)
[Main outsourced operations of the Company]
The Company outsources some of its operations. The following are the examples of operations where the Company has the outsourced agents handle "Personal Information" obtained by the Company.
  • Printing or distribution of documents to be sent out to customers
  • Provision of professional advice and other support concerning legal and accounting matters
  • Administration and maintenance of the information system
  • Entrusting financial instruments intermediary service
  • Data entries to information systems
  • Preservation of business books and documents

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