Handling of the Specific
Personal Information of Shareholders, etc.

SMFG shall handle ID numbers and personal information containing ID numbers (hereinafter “specific personal information”) of shareholders, etc. as follows in accordance with the Act on the Use of Numbers to Identify a Specific Individual in Administrative Procedures (hereinafter the “My Number Act”).

  1. 1.Policy for handling specific personal information
    SMFG, in handling the specific personal information of shareholders, etc., shall comply with related laws, regulations, and guidelines, including the My Number Act, the Act to Protect Personal Information, the privacy policy it established and disclosed, and various other SMFG regulations. In addition, SMFG shall continue to improve its methods for handling the specific personal information of shareholders, etc.
  2. 2.Purpose of use of specific personal information
    SMFG, when acquiring the ID number of a shareholder, etc., shall notify or disclose the purpose of its use, and shall use said number only to the extent necessary for accomplishing the said purpose of use. SMFG will not use the ID numbers of shareholders, etc. for purposes other than those stipulated under the My Number Act. SMFG shall use the ID numbers of shareholders, etc. for the following purposes:
    1. (1)Preparation of legal documents for interests and other matters
    2. (2)Preparation of legal documents for financial instrument transactions
    3. (3)Preparation of legal documents for securities agency operations
    4. (4)Preparation of legal documents for the payment of sales from equities or trust beneficiary interests
    5. (5)Preparation of legal documents for investment trust transactions
    6. (6)Preparation of legal documents for the payment of compensation and other matters
    7. (7)Preparation of certificates of payment for user fees on real estate
    8. (8)Preparation of certificates of payment for receipt of compensation for real estate and other assets
    9. (9)Preparation of certificates of payment for fees on the sale, purchase or leasing of real estate and other assets
  3. 3.Provision of specific personal information to a third party
    SMFG shall not provide ID numbers to a third party unless expressly stated under the My Number Act.
  4. 4.Safety control measures
    SMFG shall carry out necessary and proper safety control measures to manage the specific personal information of shareholders, etc. This includes prevention of personal information leakage, loss or damage. In addition, SMFG shall conduct necessary and proper oversight of employees that handle specific personal information and entities to which personal information has been entrusted (including parties to which data has been re-entrusted).
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