SYNERGY CAPITAL MANAGEMENT Inc (hereinafter referred to as "the Company" or "we") has established and complies with the following privacy policy (“Privacy Policy”) for handling personal information appropriately.

 

１．Compliance with Laws and Regulations

　　  We will comply with the following related laws and regulations in handling personal information:

          ① "Act on the Protection of Personal Information“, "Act on the Use of Numbers to Identify Specific Individuals in Administrative Procedures"

                and other related laws and regulations.

          ② "Guidelines for the Act on the Protection of Personal Information“, "Guidelines for Protection of Personal Information in the Financial

                Sector" and "Guidelines for the Proper Handling of Specific Personal Information".

          ③ "Guidelines for Protection of Personal Information" (Japan Investment Advisers Association) and "Guidelines for Protection of Personal

                Information" (Type Ⅱ Financial Instruments Business Association).

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２．Safety Management Measures

   　   We will strive to prevent the leakage, loss, destruction, falsification, and unauthorized access to personal information, and will take the

           following necessary and appropriate measures for safety management:

         ① We will establish internal regulations regarding the protection of personal information.

         ② We will provide appropriate education and supervision to our officers and employees.

         ③ We will strive to keep personal information accurate and up-to-date.

         ④ We will review the operation of personal information at the Company from time to time and strive  for continuous improvement.

         ⑤ In the event that the Company's subcontractors handle the Company's personal information, the Company will have them implement

              safety management measures and monitor them.

 

３．Handling of Personal Information

   (1) Acquisition of personal information

 　　  The Company shall acquire personal information in the course of carrying out its business activities, which the Company is authorized to

            carry out upon registration or notification, namely, Type Ⅱ Financial Instruments Business, Investment Advisory and Agency Business,

            Investment Management Business, and other businesses incidental to these businesses as stipulated in the Financial Instruments and

            Exchange Law.

   (2) Types of personal information

  　　 The Company may obtain, as necessary, the name, address, telephone number, fax number, e-mail address, date of birth, age, gender,

            occupation, position, information on the workplace (trade name, department name, position name, telephone number, fax number, e-mail

            address, etc.), and information on identification documents (copy of driver's license, passport, etc.) of individual clients or persons in

            charge of corporate clients by the client himself/herself or through publicly available sources.

  (3) Information requiring consideration and sensitive information

　　  The Company will not acquire or use Sensitive Information as defined in the "Act on the Protection of Personal Information" or "Guidelines

          for Protection of Personal Information in the Financial Sector" without the prior consent of the individual client, except in cases where such             acquisition or use is permitted by law or where the client voluntarily provides such information.

 

４．Purpose of Use of Personal Information

           The company will use personal information within the necessary scope for the following purposes, except in cases where we have obtained

           the consent of the client or where it is handled as an exception under laws and regulations:

        ① To perform administrative work related to investment advisory contracts (investment advisory business) or discretionary investment

              management contracts.

        ② To provide services related to investment advisory contracts (investment advisory business) or discretionary investment management

              contracts.

        ③ To report to clients on investment status, investment results, market trends, and the balance of contract assets, or to provide related

              information.

        ④ To verify the suitability of contracts, financial products, investment strategies, and other related  services for the attributes of clients who

              are investors or beneficiaries.

        ⑤ To accept to various applications or inquiries regarding contracts, financial products, investment strategies, or other related services

              handled by the Company, and to reply to or confirm such  applications or inquiries.

        ⑥ To provide explanations or information about contracts, financial products, investment strategies, or other related services provided by

              the Company or its affiliated companies, and to provide explanations about the Company or its affiliated companies.

        ⑦ To appropriately and smoothly communicate with clients by postal service, courier, e-mail, etc. as necessary for business.

        ⑧ To perform mutual communication and identification checks with related parties in personnel recruitment-related operations.

        ⑨ To confirm the identity of clients or their representatives.

        ⑩ To obtain assurances from clients that they are not involved with anti-social forces and to confirm that clients do not fall under the

              category of anti-social forces.

        ⑪ To conduct demand surveys, market research, or questionnaires necessary for the business.

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５．Disclosure or Provision of Personal Data to Third Parties

            The company will not disclose or provide personal data (personal information that constitutes a personal database, etc.) as defined in the

           "Act on the Protection of Personal Information" to any third party without obtaining the prior consent of the client, except in the following

          cases:

      ① When the consent of the client has been obtained.

      ② When required by law.

      ③ When it is judged to be necessary for the protection of human lives, bodies or their assets, and it is difficult to obtain the consent of the

            client.

      ④ When it is judged to be particularly necessary for improving public health or promoting the sound growth of children, and it is difficult to

           obtain the consent of the client.

      ⑤ When assigning operations to domestic or overseas business entities within the scope necessary to achieve the purpose of use of personal

            information.

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６．Provision of Personal Data to Third Parties by Opt-out Method【*】                       

           The company will not provide personal data (personal information that constitutes a personal database, etc.) to third parties as defined

            in the "Act on the Protection of Personal Information" through the opt-out method.

           The Company will also not provide information requiring consideration defined in the "Act on the Protection of Personal Information" and

            sensitive information stipulated in the "Guidelines for  Protection of Personal Information in the Financial Sector" ​to third parties on an

           Opt-out basis.

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　　　＊ A method in which the provision of personal data to a third party is permitted after notifying the client in advance or making the provision of personal data to

                    a third party  recognizable, and the client is deemed to have consented to the provision of personal data to the third party unless the client objects.

 

７．Disclosure, etc. of Retained Personal Data

           When a client or his/her representative makes a request in writing for disclosure, correction, addition, deletion, cessation of use, erasure, or

           cessation of provision to a third party (hereinafter referred to as "disclosure, etc.") of retained personal data as stipulated in the "Act on the

           Protection of Personal Information", we will take appropriate measures within a reasonable period of time and to the extent deemed

           appropriate based on laws and regulations after confirming that the request is made by the client, except in cases where disclosure, etc. is

           not required by laws and regulations.

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８．Contact Information

   (1) To make a request for disclosure, etc., please send a written request by mail to the following address, enclosing identification documents

          (copy of driver's license, passport, etc.):

 

                               Synergy Capital Management Inc

                               Legal & Compliance Department

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                              Toko Yoyogi Uehara Pair City Annex 003,

                              3-43-1, Uehara, Shibuya-ku, Tokyo 151-0064, Japan

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    (2) For inquiries or complaints regarding personal information, please contact the following:

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                               Synergy Capital Management Inc

                               Legal & Compliance Department

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                               Toko Yoyogi Uehara Pair City Annex 003,

                               3-43-1, Uehara, Shibuya-ku, Tokyo 151-0064, Japan

                               TEL  ：　+81-3-6804-9791 ／ FAX ： +81-3-6804-9792

                               Opening Hours ： Mon to Fri 8:00～17:00 (JST)

                                                                        Except for national holidays including substitute holidays, and Year-end and New Year holidays (12/31-1/3).

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    (3) The Company is a member of the Japan Investment Advisers Association, an authorized personal information protection organization

           recognized by the Personal Information Protection Commission and is a business subject to the association.  The association accepts

           complaints and consultation regarding the handling of personal information by its members.

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                              Japan Investment Advisers Association

                              Complaint Consultation Office（Personal Information Desk）

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                              Tokyo Shoken Kaikan, 7th Floor

                              1-5-8, Nihombashi-Kayabacho, Chuo-ku, Tokyo, 103-0025, Japan

                              TEL  :  +81-3-3663-0505  ／ URL :  https://jiaa.or.jp/komon_e/index.html

                              Opening Hours ： Mon to Fri 9:00～17:00 (JST)

                                                                         Except for national holidays including substitute holidays, and year-end and New Year holidays (12/31-1/3).