Privacy Policy

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Industrial & Infrastructure Fund Investment Corporation. (the "Investment Corporation") understands the importance of the protection of personal information. In handling personal information and specific personal information (the "Personal Information, etc."), the Investment Corporation is committed to ensuring compliance with the "Act on the Protection of Personal Information" (Act No. 57 of 2003, as amended; the "Personal Information Protection Act"), the "Act on the Use of Numbers to Identify a Specific Individual in Administrative Procedures" (Act No. 27 of 2013, as amended; the "My Number Act") and other laws and regulations/guidelines, internal rules, and this policy, and will strive to properly handle, manage and protect the Personal Information, etc.
In addition, the Investment Corporation will make efforts to continue to review and improve the system for the protection of personal information.

I. Policy of efforts to protect personal information

1. Acquisition

(1)Proper acquisition

The Investment Corporation will acquire the Personal Information, etc. by proper and legitimate means to the extent necessary for its business, and will not acquire the same through deception or other wrongful means.

(2)Acquisition of an individual number

Notwithstanding the provisions of the preceding item, the Investment Corporation may only request that the relevant person or other persons in charge of affairs related to individual number provide the individual number when it is necessary to process affairs set forth in II.2 below. The Investment Corporation will also request the provision of individual number when it becomes necessary to process such affairs or when such affairs can be expected to arise.

(3) Personal identification

In receiving the provision of an individual number, the Company will verify the identity of the relevant person in the manner stipulated in Article 16 of the My Number Act. With respect to agents, the Company will verify the identity of such agents, and confirm the power of attorney and the individual number of the relevant person in such manners as stipulated in said Article.

2. Use

(1) Restriction by purpose of use

Except as permitted by laws and regulations, the Investment Corporation will not handle personal information acquired beyond the scope of the purposes of use specified in II.1 below without the prior consent of the relevant person.

(2) Use of specific personal information

Notwithstanding the provisions of the preceding paragraph, the Investment Corporation will not use the specific personal information acquired, regardless of whether the consent of the relevant person is obtained, beyond the scope of the purposes of use set forth in II.2 below except for cases where it is necessary for the protection of the life, body or property of an individual in which the consent of the relevant person is obtained or in which it is difficult to obtain the consent of the relevant person.

3. Handling of Personal Information, etc.

In storing and using Personal Information, etc., the Investment Corporation will make efforts to keep it accurate and updated,store and use it to the minimum extent necessary in accordance with the purpose of use, and delete the personal data containing such Personal Information, etc. promptly after such utilization of such personal data has become unnecessary.

4. Notice of Purpose of Use/Disclosure/Correction, etc./Suspension of Use/Suspension of Provision to a Third Party.

If the Investment Corporation receives a request from the relevant person for notice of the purpose of use of retained personal data; disclosure of retained personal data; correction, addition, or removal("correction, etc.") of retained personal data; suspension of use or deletion ("suspension of use, etc.") of the retained personal data or suspension of provision to a third party of retained personal data pertaining to the relevant person, it will make efforts to respond to such request in an appropriate and prompt manner after verifying the identity of the relevant person. For details, please contact the consultation desk set forth in IV below.

5. Management of Personal Information, etc.

The Investment Corporation will take necessary and appropriate measures for the prevention of leakage, loss or damage of Personal Information, etc. it handles and for other safe management of Personal Information, etc.

6. Supervision of contractor

The Investment Corporation outsource the handling of the Personal Information, etc. only to the extent necessary to achieve the purposes of use. In such case, the Investment Corporation will, in selecting a contractor, confirm that the contractor's personal information protection system conforms to the standards of the "Guidelines for Protection of Personal Information in the FinancialSector," "Practical Guidelines f on Safety Management Measures, etc. of the Guidelines for Protection of Personal Information in the Financial Sector" and "Guidelines for Proper Handling of Specific Personal Information for Financial Operations" (collectively, the "Guidelines, etc. in the Financial Sector"), and also undertake measures in consideration of the protection of personal information pursuant to the Guidelines, etc. in the Financial Sector such as executing contracts with the contractor in accordance with the Guidelines, etc. in the Financial Sector, as well as exercising necessary and appropriate supervision of the contractor.

7. Appropriate efforts to process complaints

If the Investment Corporation receives any complaints about the handling of acquired Personal Information, etc., it will investigate the details in order to deal with them in an appropriate manner within a reasonable period of time.

II. Purposes of Use of Personal Information, etc.

1. Purposes of use of personal information

Except as provided by laws and regulations, the Investment Corporation will use personal information only to the extent necessary to achieve the purposes of use set forth below. In acquiring personal information, if the Investment Corporation further limits and notifies the purposes of use set forth below, it will use personal information only to the extent necessary to achieve such purposes of use.
 
(1) Personal information related to shareholders
  • for the exercise of rights and duties based on the Act on Investment Trusts and Investment Corporations (Act No. 198 of 1948, as amended; the "Investment Trusts Act") and the Companies Act (Act No. 86 of 2005, as amended);
  • for the convenience of shareholders ;
  • for the implementation of various plans and measures to facilitate the relationship between shareholders and Investment Corporation;
  • for the management of shareholders such as the preparation of shareholders' data based on the respective standards pursuant to various laws and ordinances and so on; and
  • for the proper and smooth implementation of the tasks related to or accompanied by the business of Investment Corporation thereto
(2) Personal information related to asset investment
  • for the acquisition, disposition, lease of assets under management and implementation of various tasks such as research and review thereof;
  • for the collection of rents and refund of security deposits and implementation of other business operations related to lease of assets under management;
  • for the execution of various business operations accompanied by research and study, collection and analysis of information, provision of information required for asset management (including ); and
  • for the proper and smooth implementation of the tasks related to or accompanied by the business of Investment Corporation thereto

2. Purpose of use of individual number

Notwithstanding the provisions of the preceding paragraph, the purposes of use of individual numbers by the Investment Corporation are as follows:
 
(1) Specific Personal Information of shareholders
  1. Preparation of payment records for dividends, distributions of surplus and interest on funds based on the Income Tax Act;
  2. Other affairs related to a. above and preparation of statutory records for which description of an individual number is required by laws and ordinances.
(2) Specific Personal Information, etc. of customers and clients
  1. Preparation of payment records for remuneration and fees, etc. based on the Income Tax Act;
  2. Preparation of payment records for rents on real estate, etc. based on the Income Tax Act;
  3. Preparation of payment records for prices of acquired real estates, etc. based on the Income Tax Act; and
  4. Other affairs related to a. through c. above and preparation of statutory records for which description of an Individual Number is required by laws and ordinances.
(3) Specific Personal Information, etc. of the Investment Company's officers and employees and their relatives
  1. Affairs related to withholding income tax conducted by an employer based on the Income Tax Act;
  2. Affairs related to individual inhabitants tax conducted by an employer based on the Local Tax Act;
  3. Affairs related to employment insurance conducted by an employer based on the Employment Insurance Act;
  4. Affairs related to health insurance conducted by an employer based on the Health Insurance Act (application and payments);
  5. Affairs related to employees' pension insurance conducted by an employer based on the Employees' Pension Insurance Act (application); and
  6. Other affairs related to a. through e. above and preparation of statutory records, etc. for which description of an Individual Number is required by laws and ordinances.

III. Disclosure/Provision of Personal Information, etc. to Third Parties

1. Disclosure/provision of personal data to third parties

As a rule, the Investment Corporation will not disclose any acquired personal data to any third party unless:
  1. the written consent of the relevant person is obtained;
  2. such disclosure is required by laws and regulations;
  3. such disclosureis necessary for the protection of the life, body or property of an individual in which it is difficult to obtain the consent of the relevant person;
  4. such disclosure is necessary for improving public health or protecting the sound growth of children in which it is difficult to obtain the consent of the relevant person; or
  5. such disclosure is necessary for national government organs or local governments or their delegated persons to perform tasks provided by laws and regulations in which obtaining the consent of the relevant person is likely to interfere with the performance of such tasks.

2. Disclosure/provision of specific personal information to third parties

Notwithstanding the provisions of the preceding paragraph, the Investment Corporation will not provide specific personal information to any third party (meaning the transfer of specific personal information outside of the legal entity, and the transfer of specific personal information within the same legal entity such as transfer within the same corporation is not applicable) regardless of whether the consent of the relevant person is obtained, except for the cases set out in each item of Article 19 of the My Number Act.

IV. Consultation Desk for Handling of Personal Information, etc.

Please contact the below with any inquiries regarding a request of notice of the purpose of use, a demand of disclosure, correction, etc., the suspension of use, etc., or the suspension of provision to a third party as well as complaints, etc. regarding the handling of Personal Information, etc. of the Investment Corporation:
 
Mitsubishi Corp.-UBS Realty Inc.
Department: Compliance Office
Address: 2-7-3, Marunouchi, Chiyoda-ku, Tokyo
Telephone: 03-5293-7000 (Main)
Reception hours: 9:15 - 17:30 (excluding Saturdays, Sundays and public holidays, and holidays designated by the Company)
 
with respect to the correction, addition, removal of matters stated in the investors' registry, please contact the administrator of the investors' registry.
 
Stock Transfer Agency Department, Mitsubishi UFJ Trust and Banking Corporation
Address: 1-1, Nikko-machi, Fuchu-shi, Tokyo
Telephone: 0120-232-711 (Toll-free)
 
In addition, the Investment Corporation is a member of The Investment Trusts Association, Japan, a recognizedpersonal information protection organization recognized under the Personal Information Protection Act.
The said Association accepts consultation/complaints, etc. about handing of personal information of a member company.
 
Investors Consultation Office, The Investment Trusts Association, Japan
Telephone: 03-5614-8440

V. Revision of this Policy

This policy is subject to revision to improve the personal information protection system, or based upon changes, etc. to laws and regulations.
Date of Revision: August 14, 2017

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