Personal information protection policy

We, Wealth Management, Inc., recognize the importance of protecting personal information which we acquire, by complying with relevant laws and ordinances related to protection of personal information including Personal Information Protection Law, and will treat personal information as follows to protect it.

 1.Recognition of importance

We handle personal information including information on customers in order to perform our business. As a company which deal with personal information under Personal Information Protection Law, we recognize the importance that the information is protected under relevant laws related to protection of personal information including Personal Information Protection Law, and we will protect that information in acquiring, using, and managing it.

 2.Compliance with laws and regulations

We will handle personal information in performing our business and comply with relevant laws and ordinances related to protection of personal information including Personal Information Protection Law.

 3.Purpose of usage

We will utilize personal information only for the purpose of achieving the purpose of usage, and will not utilize it for other purposes, except as provided by laws and ordinances.

 4.Proper acquisition

We will not acquire personal information by fraudulent means.

 5.Disclosure of purpose of usage

We will disclose the purpose of usage of personal information, except as provided by laws and ordinances, by indicating at our counter of our office, in our web site and other appropriate means.

 6.Securing the accuracy of the data

We will try to keep personal information accurate and up-to-dated, within the range of achieving the purpose of usage.

 7.Safety management

We will take necessary measures for safety management, eg, administration of our employees and entrusted outsourcing entities, illegal access and so forth, in order to avoid incidents related to personal information, eg, tampering, lost, and/or leakage of personal information, but not limited to them.

 8.Disclosure to third parties

We will not disclose personal information to third parties unless we are allowed to do so by the relevant persons or except as provided by laws and ordinances.

 9.Request for disclosure

We will appropriately handle personal information in case we are requested the disclosure by the relevant persons, according to the laws and ordinances for Protection of personal information.

10.Compliance with the internal rules

We will establish internal rules in order to protect personal information, make our directors and employees comply with the rules, and implement the education and enlightenment for them.

11.Offer of complaint

In case a person has complaint against our treatment of personal information, we will respond to it appropriately and promptly according to the laws and ordinances of protection of personal information and our internal rules.
The following information is our contact for customer complaint.

Internal Audit Office
Wealth Management, Inc.
Akasaka 1-12-32, Minato-ku. Tokyo, 107-6033, Japan
Tel: 03-6229-2140
Fax: 03-6229-2586
Opening hours: 9:30-17:30 JST on weekdays

12.Inquiry

If you have any inquiries regarding our treatment of personal information, please contact at the following department.

General Affairs Dept
Wealth Management, Inc.
Akasaka 1-12-32, Minato-ku. Tokyo, 107-6033, Japan
Tel: 03-6229-2140
Fax: 03-6229-2586
Opening hours: 9:30-17:30 JST on weekdays

Purpose of usage of personal information

We, Wealth Management, Inc. will utilize personal information which we deal with, to the extent necessary for achieving the following business and within the extent of achieving purpose of usage, based on the laws and ordinances regarding protection of personal information,

1. (1)The Company shall use personal information for the following purposes in operations controlling and managing the business activities of companies through holding shares in subsidiaries and affiliates, real estate-related operations, hotel management business and other financial service business.

   • 1.Solicitation, conclusion of agreements, screening, operations providing services and all operations associated thereto.
   • 2.Operations related to the resolution of complaints and dispute processing by the Company and groups related to the Company, operations related to cooperation with business performed from the perspective of supervision or customer protection, and all operations associated thereto.
   • 3.Operations preparing basic data for performing market research, customer behavior surveys and other analysis required for management, and statistical data that cannot identify individuals, and operations such as research and development of financial products and services based on these.
   • 4.Operations making various proposals related to financial products and services such as requesting monitoring, implementing surveys and sending direct mail, and various proposals of the products and services of subsidiaries and affiliates.
   • 5.Operations handling inquiries, requests for materials, IR-related e-mail delivery services and other requests, etc.
   • 6.Operations handling matters associated with the preceding items.

   (2)We will utilize personal information regarding our customers for the following purposes.

   Operations where we will negotiate, communicate, consult, consider, order, receive order, settle, and respond to a transaction, or, based on the above, give and receive goods and services.

   (3)We will utilize personal information regarding concerned persons or entities, voluntary organizations and other stakeholders for the following purposes.

   Joint work operations, or, joint work, communication, consultation, consideration, negotiation, information provision, distribution of materials and their response regarding public relations

   (4)We will utilize personal information of shareholders for the following purposes.

   • 1.Performing our obligation or exercise our right based on the Company Laws
   • 2.Providing benefits to the shareholders
   • 3.Performing procedures which will facilitate the relationship between shareholders and us
   • 4.Creating shareholders’ information based on the standard of relevant laws and ordinances

   (5)We and our subsidiaries will share personal information regarding recruitment application for the following purposes.

   • 1.To consider and decide to hire or not to hire the applicant by us and our subsidiaries
   • 2.To provide information on us and our subsidiaries, position opened for recruitment, hiring or not hiring, and other relevant matters, and to make communication

2. We may provide personal information which we possess to our related entities, courier companies, printing companies, our other transacting entities, and our subsidiaries and/or affiliates, to the extent necessary for achieving the above purposes, in order to entrust fully or partially handling personal information. We will properly and appropriately supervise those entrusted entities in case we entrust dealing with personal information entirely and partially in order to be managed safely.