Handling of Specific Personal Information

SMBC shall handle individual ID numbers, including those for clients, and the personal information (hereinafter specific personal information) contained in the individual ID number, in accordance with the Act on the Use of Numbers to Identify a Specific Individual in Administrative Procedures (hereinafter “My Number Act”).

1. Policy for handling specific personal information

SMBC, in handling specific personal information, such as that pertaining to a client, shall comply with related laws, regulations, and guidelines, including the My Number Act, and Act to Protect Personal Information, the privacy policy it established and disclosed, and other various SMBC regulations. In addition, SMBC shall continue to improve its methods for handling specific personal information.

2. Purpose of use of specific personal information

SMBC, when acquiring specific personal information on a client or other entity, shall notify or disclose the purpose of use, and use it only to the extent necessary for accomplishing the purpose of use. SMBC will not use a client’s ID number for purposes other than those stipulated for under the My Number Act. SMBC shall use a client’s ID number 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)Processing of applications/notifications of account openings related to financial instrument transactions
  4. (4)Preparation of legal documents for securities agency operations
  5. (5)Preparation of legal documents for life insurance contracts, etc.
  6. (6)Preparation of legal documents for nonlife-insurance contracts, etc.
  7. (7)Preparation of legal documents for payment of sales of equities or trust beneficiary interests
  8. (8)Preparation of legal documents for futures trading
  9. (9)Preparation of legal documents for trading of gold and other ingots, etc.
  10. (10)Processing of applications for tax-exempt savings systems, etc.
  11. (11)Preparation of legal documents for investment trust transactions
  12. (12)Preparation of legal documents for overseas fund transfers, etc.
  13. (13)Preparation of legal documents for payment of compensations and other matters
  14. (14)Preparation of certificate of payment for user fees on real estate
  15. (15)Preparation of certificate of payment for receipt of compensation for real estate and other assets
  16. (16)Preparation of certificate of payment for fees on the sale, purchase or leasing of real estate and other assets

3. Provision of specific personal information to a third party

SMBC shall not provide ID numbers to a third party unless expressly stated under the My Number Act.

4. Safety control measures

SMBC shall carry out necessary and proper safety control measures to manage specific personal information, including those for clients. This includes the prevention of the leak, loss or damage of personal information. In addition, SMBC 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).