Purposes of Use
Purposes of use of personal information in connection with securities transactions:
(1) Soliciting, selling, and providing private placement, information, and services relating to securities and other financial products based on the Financial Instruments and Exchange Law;
(2) Soliciting, selling, and providing services and information relating to the financial products handled by the Company and its related and affiliated companies;
(3) Providing advisory services and executing lease agreements in accordance with Building Lots and Buildings Transaction Business Act and related ordinances;
(4) Reviewing the suitability of the products and services offered by the Company under the principle of suitability;
(5) Identifying individual customers, their agents or, where the customer is a legal entity, the person responsible for a particular transaction, including any representative or agent of such a legal entity;
(6) Informing a customer of the outcome of a transaction, account balances or any other matters;
(7) Carrying out administrative work in connection with any transaction with a customer;
(8) Carrying our research and development of products and services through market research, data analysis, and questionnaire surveys, etc.;
(9) Performing delegated services involving the handling of personal information in an appropriate manner on behalf of any other party;
(10) Any other purposes in connection with the adequate and smooth performance of transactions between the Company and its customers.
(11) Providing to any third parties to the extent necessary for the purpose of use to accomplish any of the above (1) to (10).
In addition, the Company in principal will not gather sensitive information such as information concerning an individual’s ethnic groups and/or race, political views, religion (religion, idea and belief), family origin and/or domicile of origin, health history/records, and/or criminal records and in the event it does acquire said information, it shall not use it or provide it to any third parties.