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| Terms and Conditions | Solicitation Policy | Declaration on Personal Information Protection | Best Execution Policy |
| Deadline Date for transition of Investor Categorization | Handling of Opinions and Complaints, etc. |
| Basic Policy for Allocating Share Certificates and so forth to Customers Related to Offerings and so forth |
| Basic Policy against Anti-Social Organizations | Policy for Control over Conflict of Interest (Overview) |

Shinsei Securities Co., Ltd. is a financial instruments firm registered under the Financial Instruments and Exchange Law of Japan, with the registered number 95.
Shinsei Securities Co., Ltd. is a member of Japan Securities Dealers Association; Japan Securities Investment Advisers Association; and Financial Futures Association of Japan.