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Privacy Policy

Nomura Funds Research and Technologies Co., Ltd. and its officers and employees comply strictly with related laws and regulations, and the guidelines of supervisory agencies. To ensure compliance, Nomura Funds Research and Technologies Co., Ltd. has adopted the following basic policies.

  1. Personal information including Individual Number ("Personal Information, etc.") shall be handled in accordance with applicable laws, and efforts shall be made to ensure that the content of Personal Information, etc. is accurate and up-to-date.
  2. Personal Information, etc. shall be used only for its intended purposes. The Individual Number, in particular, will only be used in accordance with relevant laws and regulations. Furthermore, Personal Information, etc. 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 laws.
  3. Thorough training and education of all officers and employees shall be conducted to prevent leakage and improper use of Personal Information, etc.. Furthermore, managers responsible for controls and inspections of the use of Personal Information, etc. shall be appointed and proper measures for the security control thereof shall be taken.
  4. If Personal Information, etc. is handled by outside contractors, such contractors shall be supervised by Nomura Funds Research and Technologies Co., Ltd. to ensure the protection of Personal Information, etc.
  5. Disclosure, correction, and termination of use of Personal Information, etc. shall be performed in accordance with applicable laws upon request from the individual concerned. In such cases, Nomura Funds Research and Technologies Co., Ltd. may be entitled to receive prescribed fee.

<Use of Personal Information>

We may use customers' personal information for:

  • performing administrative functions with respect to the investment advisory contracts (advisory business) or discretionary investment contracts;
  • providing investment advisory services;
  • conveying information to customers such as results of investment management, account balances, and investment status;
  • the provision of information concerning solicitations, sales, and services relating to the financial products of Nomura Funds Research and Technologies Co., Ltd., or its affiliates or its business partners and to introduce our affiliates;
  • ensuring that transactions with customers and trading partners are implemented properly and efficiently.

We may use professional career information of fund managers, analysts, etc. from investment management companies for:

  • analyzing and evaluating financial products and investment management companies' investment management capabilities;
  • providing our analysis and evaluation materials about the investment management companies, including professional career information, to investors or sales channel of the financial products such as the securities distributors, and its clients as investors, in order to disclose the information about the financial products which are managed by the investment management companies;
  • providing our analysis and evaluation materials about the investment management companies or its financial products, including professional career information, to our customers such as pension plan sponsors or its consultants etc., which we provide with services according to the agreements with them;
  • providing our analysis and evaluation materials about the investment management companies, including professional career information, to our potential customers or sales channel such as the securities distributors, in order to introduce the investment management companies, develop new financial products and offer investors new investment opportunities etc.;
  • providing investment management companies' information including professional career information to Nomura Funds Research and Technologies America, Inc., in order to entrust it with analyzing and evaluating the investment management capabilities of the companies.