As the policy for handling the personal data of customers, the Company has established the following Declaration of Personal Information Protection.

1.Compliance with related laws, etc.

The Company complies with the “Law concerning the Protection of Personal Information” and other laws related to the protection of personal information, guidelines by relevant ministers, policies of relevant authorized 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 will 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 will not be disclosed/provided to third parties without the person’s consent, unless there are justifiable reasons, such as disclosures are required under laws, etc.
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 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. In addition, 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.

(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 internal control purposes.
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. (information of outstanding balance, etc.); 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 ensure that personal information on its customers is accurate and updated.

5.Procedures for applied-for disclosure, etc.

When applications for disclosure, revisions, additions or deletions of contents, suspension of use, elimination, suspension of provision to third parties, etc. 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 said customer.

6.Questions, comments, etc.

The Company shall handle questions, comments, etc. from customers relating to personal information in an immediate and conscientious manner. Please contact the following liaison section of the Company with any questions, comments, etc.

7.Authorized Personal Information Protection Organizations

The Company is a member of the Japan Securities Dealers Association, which is a personal information protection organization authorized by the Financial Services Agency. The securities mediation and consultation center of the Association accepts complaints and consultations from its members regarding the handling of personal information.

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