Sharing of Corporate Customer Information with Group Securities Companies

Customers subject to the provision of information according to the "opt-out method" are corporate customers that are either:

1. (1)customers receiving notification regarding the provision of information according to the "opt-out method" by registered mail between June 14, 2013 and June 21, 2013 (such period to be renewed about once a year); or
2. (2)customers receiving notification regarding the provision of information according to the "opt-out method" by either registered mail or hand delivery during a period other than the period stated in (1) above, provided that such customers have agreed in advance to such notification.

Undisclosed corporate customer information already obtained or to be obtained (including "non-public information" as defined in the Cabinet Office Ordinance regarding Financial Instruments Business, etc.).

Mizuho Securities Co., Ltd.

Information will be transferred by hand, mail, FAX, e-mail, or other means.
Appropriate transfer methods will be selected considering factors such as the importance of the information and the type of storage media on which the information is recorded, after confirming the appropriateness of the recipient, the content of the information to be provided, the method of provision, purpose of use, etc.

Information will be managed for a prescribed retention period upon implementation of appropriate security measures at each management phase (acquisition/input, use/processing, retention/storage, transfer/transmission, elimination/disposal) according to the importance of the information, type of storage media on which the information is recorded, etc.

1. (1)For proposal/introduction and research/development of products and services, etc.
2. (2)For decision making at the provision of products and services, etc.
3. (3)For adequate execution of management and administrative operations as a group.

The recipient will act adequately according to its "financial instrument solicitation policy" when proposing or introducing products and services to its customers.

Customers not consenting to the provision of information according to the "opt-out method" need to make a "request to cease the provision of information" by submitting the "Application to Cease Provision of Information", etc. No action of any kind is necessary for customers consenting to the provision of information.
Click here for the "Application to Cease Provision of Information"(PDF/19KB)

1. (1)Upon customer's "request to cease the provision of information", the provision of information will be ceased promptly.
2. (2)Notwithstanding the foregoing, transfer of information for which written consent of the customer is not required according to the Financial Instruments and Exchange Act or other laws and regulations may be performed even after such "request to cease the provision of information". The following are some examples of information transfer for which written consent is not required.
   
   • Transfer of information which is necessary for carrying out internal management operations (compliance management, loss and risk management, internal audits and inspections, financial, taxation and accounting operations) or maintenance and management of electronic information processing systems.
   • Transfer of information pursuant to laws and regulations, etc.
3. (3)Information provided prior to a "request to cease the provision of information" may continue to be stored and used by the recipient.
   Information that will continue to be stored by the recipient will be managed according to the methods outlined in 5. above.
   

1. (1)Information of customers that have granted written consent will be shared based on the relevant written consent.
2. (2)In cases where there are other prevailing agreements (confidentiality agreements, etc.), regarding the treatment of non-public information or other information, information will be handled according to such other agreements.