Policy Concerning the Protection of Personal Information

RCM Japan Co., Ltd. and its employees (hereinafter referred to as “the Company”) will comply with the "Act on the Protection of Personal Information", relevant laws and regulations and regulatory agency guidelines to protect personal information. To that end, the Company will use any obtained 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 solicit customers 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 customers relating to those services.
  2. To provide information to customers in relation to investment strategies offered by the Company or by affiliate companies, and providing service information and introducing affiliate companies to the customer.
  3. For making judgements on whether an investment strategy or a service introduced to a customer is adequate based on the "principle of appropriateness" etc.
  4. For administrative work, such as open a customer account etc.
  5. To identify the customer and/or its proxy.
  6. To report investment results, transaction results, assets under management, and investment status etc. to the customer and also to establish any communication required to deliver customer support smoothly and appropriately.
  7. To conduct operational administration of customer’s transactions (including, with the purpose of internal control, the provision of customer's Personal Information to third parties based prior consent to do so by the customer).
  8. To provide customers with information on seminars, market, corporation and credit analysis.
  9. To research and develop investment strategies and services based on implementing market surveys, data analys and questionnaires, and;
  10. For recruiting purposes.

Appropirate Acquisition of Personal Information

The Company in principle acquires personal information only directly from the respective individual.

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