NOMURA ASSET MANAGEMENT

NOMURA

Policies on the Protection of Personal Information

Nomura Asset Management Co., Ltd. and its officers and employees comply strictly with the Act on the Protection of Personal Information, related laws and regulations, and the guidelines of supervisory agencies. To ensure compliance, Nomura Asset Management Co., Ltd. has adopted the following basic policies.

  1. 1.Personal information shall be handled in accordance with applicable law, and efforts shall be made to ensure that the content of personal information is accurate and up-to-date.
  2. 2.The use of personal information shall not exceed its intended purposes. Also, personal information shall not be provided or disclosed to third parties in the absence of the individual's consent without good cause such as a duty to disclose pursuant to applicable law.
  3. 3.Thorough training and education of all officers and employees shall be conducted to prevent leaks and improper use of personal information. Also, personnel responsible for management and inspections shall be appointed and suitable management structures shall be created.
  4. 4.If personal information is handled by outside contractors, subcontractors shall be supervised under Nomura Asset Management Co., Ltd.'s responsibility to ensure the protection of personal information.
  5. 5.Disclosure, correction, and termination of use of personal information shall be performed in accordance with applicable law upon request from the individual concerned. In such cases, Nomura Asset Management Co., Ltd. may collect any necessary expenses.

Inquiries concerning personal information and its intended uses should be directed as follows:

Personal Information Hotline
Corporate Planning Department
Nomura Asset Management Co., Ltd.
1-12-1 Nihonbashi, Chuo-ku, Tokyo 103-8260
Tel: 03-3241-9764

In addition, Nomura Asset Management Co., Ltd. periodically reviews its personal information protection management programs based on input from customers and continuously makes enhancements.

Nomura Asset Management Co., Ltd. is subject to the following certified personal information protection organizations.
Names of certified personal information protection organizations and contact information for complaints:

The Investment Trusts Association, Japan
Investor Hotline: 03-5614-8440
Japan Investment Advisers Association
Complaint Hotline: 03-3663-0505

Use of Personal Information

  1. 1.Solicitation, sale, and management relating to Nomura Asset Management Co., Ltd.'s products and services including investment trusts, investment advisory services, and discretionary investment contracts and the provision of information concerning related services.
  2. 2.The provision of information concerning solicitations, sales, and services relating to the financial products of Nomura Asset Management Co., Ltd., its affiliates, and its business partners and introduction to affiliates.
  3. 3.Making determinations concerning the appropriateness of products and services in light of principles regarding suitability and other factors.
  4. 4.Confirming that individuals are customers or their agents.
  5. 5.Conveying information to customers such as transaction results, account balances, and investment status.
  6. 6.Performing administrative functions with respect to transactions with customers and trading partners.
  7. 7.Exercising rights and performing duties pursuant to contracts with customers and applicable law.
  8. 8.Researching and developing financial products and services by conducting market surveys, data analysis, and questionnaires.
  9. 9.When personal information is consigned from other businesses in whole or in part, performing the consigned work properly.
  10. 10.Ensuring that transactions with customers and trading partners are implemented properly and efficiently.