Handling of a Client’s Personal Information

5. Procedures, including those for handling disclosure requests

SMBC shall handle procedures, including disclosure requests, in the following manner at the request of a client or their representative in accordance with Article 27-2, 28-1, 29-1, and 30-1 and 3 of the Act (hereinafter collectively referred to as “disclosure requests and other procedures”). Note that client should contact the nearest main office or branch when requesting the notification of the purpose of use in line with Article 27-2 of the Act, or the termination of usage of stored personal information pursuant to Article 30-1 and 3 of the Act.

1. (1)Stored personal data items that are subject to disclosure requests and other procedures
2. Name, address, telephone number, date of birth, workplace (name, occupation, and telephone number), transaction balances (type of account, account number, balance), information related to transaction history, and other pertinent data
3. (2)Contact point for disclosure requests and other procedures
4. 1. All domestic branch and sales offices
   2. Send the prescribed request form and necessary documents to the address below when sending a request by postal service.
      Tokyo Deposit Center Registration Team,
      SMBC Post Office Box No. 4, Ginza Branch, Japan Post Holdings 100-8782
5. (3)Documents required for submission
6. 1. Personal information disclosure request (disclosure requests in accordance with Article 28-1 of the Act)
   2. Revision, modification or deletion of personal information (revision, modification, or deletion in accordance with Article 29-1 of the Act)
   3. Documents to confirms client’s identity (one (1) copy of driver’s license, passport or other valid ID)
   4. When disclosure request is made by a legal representative, in addition to iii above, documents confirming authority to represent client are also required.
7. (4)Fees
8. SMBC shall be paid a set fee, including payment by account transfer, for disclosure requests in accordance with Article 28-1 of the Act.

9. Information requested	Fee (includes consumption tax)
   Name, address, telephone number, date of birth, workplace (name, occupation, telephone number)	All of left items	¥880
   Transaction balance (Account type, number, and balance)	Specified date	¥2,200
   Transaction history	One month(*)	¥550
   Information other than the above	Per item	¥1,100

   (*) Periods are calculated on a calendar basis. Example: April 25, 2005 to May 10, 2005 is calculated as a two-month period.

10. (5)Method of response
11. Responses are made in writing in a timely manner - delivery by sales department or branch office where request was filed, or sent by postal service to address filed by client. Note that responses are only made directly to the client, even in case where the request was filed by a representative of the client.
12. (6)Purpose of use of personal information acquired during handling of disclosure request and other procedures
13. Personal information acquired during handling of disclosure request and other procedures is used for analysis of the procedures, to confirm the identity of the client or representative, to collect fees, and to respond to the disclosure request.
14. (7)Cases where information is not disclosed
15. SMBC cannot disclose information in the following cases. The client will be notified of the reason that information cannot be disclosed. Also, SMBC will charge a set fee even if it is unable to disclose information.
16. 1. Identity of client cannot be confirmed
    2. Cannot confirm the authority to act as a representative of the client, when request has been filed by a representative
    3. Discrepancies with prescribed request form
    4. Fees are not paid during the set period
    5. Information requested do not match the stored personal information
    6. Possible irreparable damage to life, physical body, assets, or other rights and interests of the client or third party
    7. Risk of major hindrance to proper implementation of operations of SMBC
    8. Violation of other laws and ordinances