Sharing of Corporate Customer Information with Group Securities Companies in Hong Kong

Mizuho Bank, Ltd.

Thank you for your continued relationship with Mizuho Financial Group.

Mizuho Bank (MHBK) is striving to provide high value–added financial products and services, and be of further assistance to its customers, by strengthening the cooperation with its group companies.
In light of the foregoing, MHBK wishes to provide to and share with its group securities companies, corporate customer information as detailed below according to the “opt–out method”(*1) as stipulated in Articles 123(2) and/or 153(2) of the Cabinet Office Ordinance regarding Financial Instruments Business, etc.

In order to start providing information by the “opt–out method”, MHBK will provide prior written notice to its customers.
MHBK kindly requests those customers receiving such written notice that do not consent to the provision of information, to contact the “Inquiries & Liaison Offices” as shown below. Other inquiries regarding this matter are also accepted at the “Inquiries & Liaison Offices” as shown below.

(*1) The “opt–out method” is a method whereby customer's “written consent” on the provision of customer's information to MHBK's group companies is considered to be obtained through prior notice or by other means, under the condition that such customer is adequately offered the opportunity to cease the provision of information, until the customer's request to cease the provision of information is received.
 

1. Customers subject to the provision of information according to the “opt–out method”

Customers subject to the provision of information according to the “opt–out method” are corporate customers to whom the notice on the provision of customer's information to MHBK's group companies by the “opt–out method” has been sent by registered mail or delivered by MHBK, after the customer's approval on providing information has been obtained.

2. Scope of information

Undisclosed corporate customer information already obtained or to be obtained (including “non–public information” as defined in the Cabinet Office Ordinance regarding Financial Instruments Business, etc.).
 

3. Recipient of information

Mizuho Securities Co., Ltd.
 

4. Method for transferring information

Information will be transferred by hand, mail, FAX, e–mail, or other means.
However, appropriate transfer methods will be selected considering factors such as the importance of the information and the type of storage media on which the information is recorded, after confirming the appropriateness of the recipient, the content of the information to be provided, the method of provision, purpose of use, etc.
 

5. Recipient's method for managing information

Information will be managed for a prescribed retention period upon implementation of appropriate security measures at each management phase (acquisition/input, use/processing, retention/storage, transfer/transmission, elimination/disposal) according to the importance of the information, type of storage media on which the information is recorded, etc.

6. Recipient's purpose of use

1. For proposal/introduction and research/development of products and services, etc.
2. For decision making at the provision of products and services, etc.
3. For adequate execution of management and administrative operations as a group.
    

The recipient will act adequately according to its “financial instrument solicitation policy” when proposing or introducing products and services to its customers.
 

7. Means for making a “request to cease the provision of information”

Customers not consenting to the provision of information according to the “opt–out method” need to make a “request to cease the provision of information” by informing your relationship manager, Data Protection Officer (contact information shown at “Inquiries & Liaison Offices”), etc. No action of any kind is necessary for customers consenting to the provision of information.
 

8. Method for managing information upon customer's “request to cease the provision of information”

1. Upon customer's “request to cease the provision of information”, the provision of information will be ceased promptly.
2. Notwithstanding the foregoing, transfer of information for which written consent of the customer is not required according to the Financial Instruments and Exchange Act or other laws and regulations may be performed even after such “request to cease the provision of information”. The following are some examples of information transfer for which written consent is not required.
   • Transfer of information which is necessary for carrying out internal control operations (compliance management, loss and risk management, internal audits and inspections, financial, taxation, accounting operations and settlement of transactions) or maintenance and management of electronic information processing systems.
   • Transfer of information pursuant to laws and regulations, etc.
3. Information provided prior to a “request to cease the provision of information” may continue to be stored and used by the recipient. Information that will continue to be stored by the recipient will be managed according to the methods outlined in 5. above.
    

9. Notes

1. Information of customers that have granted written consent will be shared based on the relevant written consent.
2. In cases where there are other prevailing agreements (confidentiality agreements, etc.), regarding the treatment of non–public information or other information, information will be handled according to such other agreements.