• Shinsei Securities Co., Ltd. (hereinafter referred to as “Shinsei Securities”) is a wholly-owned subsidiary of Shinsei Bank Co., Ltd. (hereinafter referred to as “Shinsei Bank”), and is a separate company from Shinsei Bank.
• Shinsei Bank does not supply the products and services offered by Shinsei Securities.
• In some cases, Shinsei Bank may introduce customers to Shinsei Securities.
• Shinsei Bank employees may not provide assessments, opinions and so forth regarding the products and services provided by Shinsei Securities.
• Upon obtaining written consent from its customers, Shinsei Securities may exchange unpublished information on its customers with Shinsei Bank, which is the parent company, and Shinsei Trust & Banking Co., Ltd., which is an affiliate company, pursuant to regulations such as the Financial Instruments and Exchange Law.

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Shinsei Securities recommends and sells suitable financial products to our customers in compliance with the Law Concerning the Sale etc. of Financial Products, the Financial Instruments and Exchange Law, and other relevant laws, ordinances and regulations and pursuant to the following policy.

• 1 Shinsei Securities shall endeavor to recommend suitable financial products to our customers based on an understanding of its customers’ knowledge of financial products, investment objectives, financial conditions and investment experience.
• 2 Shinsei Securities shall endeavor to provide sufficient information on product details, risks and so forth so that our customers can make transactions based on their own judgments and on their own responsibility.
• 3 Shinsei Securities shall endeavor to provide objective investment information based on accurate information and data in order to avoid any misunderstanding by our customers.
• 4 Shinsei Securities shall endeavor to carefully select the sales method, place and time in order to prevent any inconvenience to our customers.
• 5 Shinsei Securities provide its officers and employees with thorough internal education and training programs in order to avoid any inappropriate sales activities and to provide professional advice.
• 6 Shinsei Securities shall endeavor to develop and enhance our internal control system in order to ensure full compliance with the Financial Instruments and Exchange Law and other relevant laws, ordinances and regulations.
• 7 Shinsei Securities sincerely listens to customer opinions and requests regarding transactions with us in order to improve solicitation activities towards, and advice given, to its customers.

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