Policy Concerning the Protection of Personal Information

RCM Japan Co., Ltd (Hereinafter referred to as “the Company”) and its employees will comply with the Law Concerning the Protection of Private Information, relevant laws and regulations and regulatory agency guidelines to protect personal information. To that end, the Company will use personal information only within the scope of use purpose, and will also implement the appropriate complaint processing procedure.

Purpose of Personal Information Use

  1. To conduct solicitation in relation to the Investment Advisory Agreement, Discretionary Investment Management Agreement and other business or service offered by the Company, and providing the information to the customer relating to those services.
  2. To conduct solicitation on financial products offered by the Company or the affiliate companies, and providing service information and introducing the affiliate companies to the customer.
  3. Referring to the “Conduct of Business” under the Financial Instruments and Exchange Law of Japan, determining the appropriateness of the product and service offered by the Company.
  4. To identify the customer and or its proxy.
  5. To report the investment outcome, transaction outcome, asset under management, and investment status etc. to the customer.
  6. To conduct the operational administration relating to the customer’s transaction.
  7. To provide the information on seminars, market, corporation and credit analysis to the customer.
  8. To research and develop financial products and services based on implementing market surveys, data analyses, and questionnaire surveys, and;
  9. To expedite business with the customer properly and smoothly.

Notification and Disclosure Concerning the Purpose of Personal Information Use

The Company will disclose the purpose of personal information use at the Company’s office or on the Company's internet website.

Disclosure of Personal Information Data held by the Company

Please contact the Personal Information Service Desk listed below for inquiring personal information data held by the Company as well as notification for the purpose of personal information use, disclosure, amendment and termination of personal information. The Company will investigate the inquiry and reply, notify and or disclose it to the customer by phone, postal mail, or electronic mail. The Company will also cope with swiftly if there is any error or amendment etc. on the personal information after identifying the person.

Name of Authorized Personal Information Protection Organization and Contact for Customer’s Complaint

Japan Securities Investment Advisers Association
Complaint Desk, Telephone: 03-3663-0505

Personal Information Service Desk

RCM Japan Co., Ltd.
Izumi Garden Tower, 6-1 Roppongi 1-chome
Minato-ku, Tokyo 106-6014
Telephone: 03-6229-0200