Guide to application procedure fordisclosure of personal information etc.

1.

What types of application are acceptable?

2.

What is the basic procedural flow?

3.

Who should I contact for the procedure?

4.

Where should I send the application form?

5.

Do I have to submit documents for ID verification when applying?

6.

Is there a handling fee?

7.

What kind of personal information can be disclosed?

8.

Can personal information be revised, added, or deleted?

9.

Is it possible to discontinue or eliminate the use of personal information and/orsuspend its provision to third parties?

10.

How are responses made?

11.

Can application be made by proxy?

12.

Can I be informed of the purpose of use of personal information?

Nikko Asset Management Co., Ltd.

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1. What types of application are acceptable?
(1) Our customers can make application for disclosure of the personal informationon themselves in our database constructed in accordance with the PersonalInformation Protection Law (hereinafter referred to as the “Law”).
(2) We accept four types of application, as follows (hereinafter, these four will becollectively referred to as “disclosure etc.”)
1) Disclosure2) Revision, addition, deletion
3) Discontinuation/elimination of use and suspension of provision to thirdparties
4) Notification of the purpose of use(3) Of the four types noted above, please be informed that handling fees
determined by Nikko AM will be charged for types 1) and 4).

2. What is the basic procedural flow?
(1) Please request an application form for personal information disclosure etc., bycontacting the Customer Service Unit.

In so doing, please state that you aremaking application in accordance with the Law.
(2) Please fill out the application form for personal information disclosure etc., andpost it to us (your identity will be verified by the prescribed method).
(3) We shall examine the necessary items and prepare a written response inaccordance with the Law.
(4) It will take a certain amount of time to prepare this written response.
(5) As a general rule, we shall post the written response by a method in which adelivery record is retained.

3. Who should I contact for the procedure?
Nikko AM
Customer Service Unit: Tel 03-6447-6222

4. Where should I send the application form?
Mailing address: Customer Service Unit (Personal Information)
Nikko Asset Management Co., Ltd.
Midtown Tower, 9-7-1 Akasaka, Minato-ku, Tokyo 107-6242

5. Do I have to submit documents for ID verification when applying?

2(1) Customers who have transaction accounts for direct sales (hereinafter referred
to as “transaction accounts”)
We shall confirm that information on the application form for the prescribed
items (account number, address, name, sex, telephone number, date of birth,and seal) agree with that registered on our data.

In the process, we shallverify the identity of the applicant by means of documents enabling suchverification, in accordance with the procedures stipulated in the Law for
Prevention of Transfer of Criminal Proceeds.

For this purpose, pleasesubmit the application form for personal information disclosure etc, and at
least one of the following documents:
Driver's license Health insurance card Individual Number Card front side Passport
Residence card Special permanent resident certificate(Former Alien registrationcertificate) Pension handbook Seal registration certificate* and registered seal
*Please provide original copies issued no more than six months ago for the documents
marked with an asterisk and copies of documents that are still valid for those notmarked with an asterisk. If there is a notation of a change of address on the rear side ofthe driver's license, please provide a copy of the rear side as well.
If you do not have the above identification documents, please contact us.

(2) Customers who have concluded investment advisory contracts with Nikko AM or
beneficiaries who have applied for registration with Nikko AM
We shall confirm that information on the application form for the prescribed
items (address, name, and seal) agree with that registered on our data.

Inthe process, we shall verify the identity of the applicant by means ofdocuments enabling such verification, in accordance with the procedures
stipulated in the Law for Prevention of Transfer of Criminal Proceeds. For
this purpose, please submit the application form for personal information
disclosure etc., and at least one of the following documents:
Driver's license Health insurance card Individual Number Card front side Passport
Residence card Special permanent resident certificate(Former Alien registrationcertificate) Pension handbook Seal registration certificate* and registered seal
*Please provide original copies issued no more than six months ago for the documents
marked with an asterisk and copies of documents that are still valid for those notmarked with an asterisk. If there is a notation of a change of address on the rear side ofthe driver's license, please provide a copy of the rear side as well.
If you do not have the above identification documents, please contact us.

3(3) Customers other than (1) and (2) above
Please enter your name, address, and information for other requisite itemson the application form for personal information disclosure etc., impress theform with your registered seal, and submit a seal certificate issued no morethan six months ago along with your form.

6. Is there a handling fee?
(1) For applications for notification of purpose of use or for disclosure, there is ahandling fee of JPY1,000 (tax-included) per response sheet.
(2) We will mail the response sheet on a payment on delivery basis, so please pay
the fee upon delivery of the response sheet.

7. What kind of personal information can be disclosed?
We disclose the following types of personal information on customers contained inour database constructed in accordance with the Law.

Please note, however, that

we may not disclose the requested information, in whole or in part, if we recognize
the existence of conditions for non-disclosure stipulated in the Law.

Even in thiscase, we will post a response sheet.
(1) Information concerning customers (e.g., name, date of birth, sex, address, andtelephone number, etc.)(2) Information concerning transactions between the customer and Nikko AM
It may not be necessary to file an application based on the Law for matters such as
ordinary issuance of copies of transaction statements, balance statements, and customer
account ledger.

8. Can personal information be revised, added, or deleted?
We make revisions, additions, and deletions (hereinafter referred to as “revisionsetc.”) for the customer’s personal information contained in our database constructedin accordance with the Law in response to their requests, if we determine that thesaid information is erroneous or no longer factual due to changes. In applying forrevisions etc., of personal information, the customer must note the errors, changes,actual facts, etc., for said information on the application form for personal
information disclosure etc., and submit documentation corroborating theseassertions.

Please note, however, that we may not make the requested revisions

etc., in whole or in part, if the conditions stipulated in the Law are met.
this case, we will post a response sheet.

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Even inIt may not be necessary to file an application based on the Law for ordinarychanges in items such as name, address, and telephone number.

9. Is it possible to discontinue or eliminate the use of personal
information and/or suspend its provision to third parties?
Customers may request the discontinuation or elimination of use of theirpersonal information contained on our database constructed in accordancewith the Law if the use exceeds the scope required for attainment of thepurpose or the said information was acquired by improper means.

Theyalso may request the suspension of provision to third parties if the said
provision does not meet the prescribed conditions.

If it is clear that there

is sufficient reason for the request, we will discontinue or eliminate the useor suspend the provision to third parties (hereinafter referred to as “usediscontinuation etc.”).

In filing an application to this effect, the customer

must fill out the specific problem with the current handling on theapplication form for personal information disclosure etc.

Please note,however, that we may not make the requested use discontinuation etc., inwhole or in part, if the conditions stipulated in the Law are met.

Even inthis case, we will post a response sheet.
If a customer requests the cancellation of direct marketing, we will cease touse or provide information thereafter irrespective of the reason. Pleasecontact the phone number listed in section 3 above.

10. How are responses made?
(1) We shall send the written response in the form prescribed by Nikko AM
to the registered address in the case of customers who have atransaction account and to the address confirmed in the process ofidentity verification in the case of customers who do not have atransaction account.

In each case, we shall post the response by amethod in which a delivery record is retained.
(2) As a general rule, only one written response sheet will be sent to theapplicant.
(3) It will take a certain amount of time from receipt of the application to5

sending the written response.
(4) Please direct any inquiries about the information on the response sheet
to the Customer Service Unit.

11. Can application be made by proxy?
Customers may apply through a legal proxy or a voluntary proxy acting on
their behalf.
(1) In the event of applying through a proxy, we shall verify the identity ofthe proxy in accordance with the procedures stipulated in the Law for
Prevention of Transfer of Criminal Proceeds.

We also request theproxy to impress the application form with his or her registered seal
and append a copy of the seal certificate.
(2) A legal proxy must also submit a transcript of the family register orother document corroborating the existence of a certain relationshipwith the customer prescribed by the provisions of relevant laws andregulations.
(3) A voluntary proxy must impress the letter of proxy prescribed by Nikko
AM with the registered seals of both the customer and the proxy, andappend a copy of the seal certificate.

(However, if the customer or theproxy has a transaction account, the letter of proxy must be impressedwith the seal registered with Nikko AM).
(4) We shall post the written response by a method in which a delivery
record is retained.

If a legal proxy so requests, we shall post thewritten response by a method in which a delivery record is retained tothe address of the proxy.
* A legal proxy is a proxy who has been defined as such by law orregulation.
* A voluntary proxy is any proxy other than a legal proxy.

12. Can I be informed of the purpose of use of personal information?
Customers may request notification of the purpose of use of personal
information on themselves contained in our database constructed inaccordance with the Law.
Our website displays our Basic Policy on the Protection of Personal Information,
setting forth items such as the purpose of use of such information in our company.

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