The Handling of Personal Information

MUCAP collects its customers’ personal information solely to the extent necessary to perform the following services:

• 1.
  Investment and/or consulting services together with their associated procedures and processes; and
• 2.
  Any other services that MUCAP is (or will be) permitted to provide together with their associated procedures and processes.

MUCAP uses personal information supplied by its customers solely to the extent necessary to achieve the following purposes:

1. 1.
   To process requests for investment and/or consulting services;
2. 2.
   To confirm the identity of its customers in accordance with laws and regulations, and the eligibility for the use of investment and/or consulting services;
3. 3.
   To manage administrative aspects of investment and/or consulting services (such as due date management) to ensure a continuous service delivery;
4. 4.
   To provide relevant information to third parties solely to the extent necessary for an appropriate delivery of investment services;
5. 5.
   To properly conduct any processing of personal information that may be outsourced, in whole or in part, to MUCAP by other entities, etc.;
6. 6.
   To exercise its rights or perform its obligations under agreements with customers, laws and regulations;
7. 7.
   To conduct research into or development of investment and/or consulting services by market study, data analysis and questionnaire surveys, etc.;
8. 8.
   To propose investment and/or consulting services (including by offering services that meet the needs of customers through analysis of their transactions and/or website browsing history);
9. 9.
   To propose investment and/or consulting services or products provided by its partner companies, etc.;
10. 10.
    To handle and follow up the cancellation of transactions; and/or
11. 11.
    To execute transactions with customers properly and smoothly.

1. 1.
   To conduct administrative work for preparing reports on the payment of consideration for the transfer of shares or other securities made as part of its investment services; or
2. 2.
   To conduct administrative work for preparing any other payment reports required under laws and regulations; or
3. 3.
   To conduct other administrative work associated with the two preceding duties.

To prevent any unauthorized access to sensitive information such as personal information or Specific Personal Information, as well as any divulgation, loss, or damage of such information, MUCAP has been implementing a series of organizational, human, physical, and technical security management measures, along with other necessary and appropriate measures, to ensure an appropriate management of these information.
The specific security management measures taken by MUCAP are described as follows:

MUCAP will not provide customer’s personal information to any third party without the customer’s prior consent, unless otherwise specified by laws and regulations. In addition, MUCAP will not provide customer’s Specific Personal Information to any third party, unless otherwise specified by laws and regulations.
In case a third party is located in a foreign country, upon obtaining a customer’s consent, MUCAP provides information on the foreign country where the third party is located, etc. to the customer, in accordance with the provisions of the Act on the Protection of Personal Information.

When outsourcing the handling of personal information to a contractor, MUCAP executes an agreement with the contractor requiring security management measures to be taken under MUCAP’s Privacy Policy and associated rules, to prevent such contractor from using such personal information for other purposes than performing the outsourced duties.

Under the Act on the Protection of Personal Information, procedures for requesting disclosure of the personal data held by MUCAP (including notice of purpose of use, disclosure, correction, or suspension of use) may be carried out as follows:

Privacy Center, Mitsubishi UFJ Capital Co., Ltd.

MUCAP may amend its Privacy Policy and the handling of personal information at any time for the purpose of improving privacy procedures, or otherwise in line with any revision of applicable laws or regulations. Please check MUCAP’s website or head office notice regularly to keep yourself posted on any important updates.