Mitsubishi UFJ Securities Holdings Co., Ltd.(Please refer to the "Corporate Data" on our website for our company address and the name of our representative) announces the handling of personal information, Individual Number, and specific personal information as follows.

※The proper meaning of each term is as follows.

• “Personal information” means information concerning a living person, and information included in it such as name, date of birth, and any other description from which it would be possible to identify a specific person (including those which can be readily collated with other information and thereby identify a specific individual), or information that include an individual identification code.
• “Individual Identification Codes” apply to any of the following, each is designated separately in government ordinances.
  (1)Data about characteristics of a part of the body that has been converted to be able to be processed by computer
  〈Example〉Data for use in recognition of faces, veins, voiceprints, fingerprints, etc.
  (2)Official numbers assigned and distributed to users by national and local governments
  〈Example〉Driver’s license numbers, passport numbers, Individual Number, etc.
• “Individual Number” is designated in order to identify the person pertaining to the residence certificate on which said residence certificate code is recorded.
• “Specific personal information” is a “Personal Information” including an “Individual Number”.
  

1.Acquisition and Use of Personal Information

We will hold and use the personal information (name, address, place of work, etc.) of those who request materials or make inquiries.

2.Provision of Personal Information to Third Parties

Except for cases based on laws and regulations（including ordinances. same as below.）, we will not provide personal information without the consent of the person to third parties outside us.
However, with regard to individual numbers, we will not supply these to a third party even with the consent of the person except as permitted by law.

3.Implementation of Security Control Measures

We will manage customers' personal information appropriately by implementing necessary and appropriate organizational, human, technological and physical security control measures to prevent improper access to personal information as well as the loss, alteration or leakage, etc. of personal information.
The measures we have taken for security control measures are as follows.

(Formulation of basic policy)

・To ensure the proper handling of personal data, we will formulate a basic policy regarding "compliance with related laws and regulations and guidelines," "contact point for questions and complaints handling office," etc.

(Maintenance of rules for the handling of personal data)

・We will establish rules for the handling of personal data, including handling methods, responsible persons and persons in charge, and their duties, for each stage of acquisition, use, storage, provision, deletion, disposal, etc.

(Institutional security control measures)

・In addition to establishing a person responsible for the handling of personal data, the Company will clarify the officers and employees who handle personal data and the scope of personal data handled by such officers and employees, and establish a system for reporting to the person responsible in the event that a violation of the Personal Information Protection Law or handling regulations is detected or any sign of such a violation is detected.

・We will conduct periodic self-inspections and audits by other departments on the status of personal data handling.

(Human security control measures)

・Regularly provide training for officers and employees on matters to keep in mind regarding the handling of personal data.

・The confidentiality of personal data will be included in the employment regulations.

(Physical security control measures)

・In areas where personal data is handled, we will implement measures to prevent unauthorized persons from accessing personal data by controlling the access of officers and employees and restricting the equipment, etc. they may bring into the area.

・We will take measures to prevent theft or loss of equipment, electronic media, and documents that handle personal data, and implement measures to prevent personal data from being easily discovered when such equipment, electronic media, etc. are carried, including within the business site.

(Technological security control measures)

・Access control is implemented to limit the scope of persons in charge and the personal information databases handled.

・Implement mechanisms to protect information systems that handle personal data from unauthorized external access or unauthorized software.

(Understanding the external environment)

・The Company implements security control measures based on an understanding of the systems for the protection of personal information in foreign countries where personal data is handled.

4.Procedure to Request Disclosure, etc. of Retained Personal Data, etc.

When making a request for the disclosure, etc. of personal data held, etc., or when making an inquiry, complaint, or seeking consultation, etc. with regard to our security control measures for personal information or other handling of personal information, please contact the following.
Except in cases where disclosure, etc. is not required under applicable laws and regulations, we will confirm that the request is from the person in question, if you wish to disclose, etc. in writing, please submit a disclosure request form. We will respond within a reasonable period of time and within a reasonable scope.
If we receive a request to disclose whether or not we have an Individual Number, we will reply to you regarding whether or not we have an Individual Number.

5.Contacts

If you have any opinions, requests, or inquiries regarding our handling of personal information, please contact the following.

• Mitsubishi UFJ Securities Holdings Co., Ltd.
  • Main number: 03-6213-2550
  • Office hours: 9:00~17:00 (Excluding December 31 to January 3, weekends, and public holidays)

6.Amendments

These handling provisions will take effect on January 1st, 2024.
To ensure protection of personal information or to respond to changes in other regulations, we may amend our Personal Information Protection Policy and the Handling of Personal Information. In particular, we will post important changes on our corporate website, etc.

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