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Policy for the Management of Conflicts of Interest

Mizuho Real Estate Management Co., Ltd. (the Company) shall publish the summary of the policy for the management of conflicts of interest as follows:

1. Policy for the Management of Conflicts of Interest

The Company shall manage any conflicts of interest that may arise out of or in relation to transactions to be concluded by and between customers and Mizuho Financial Group, Inc. or any of the consolidated subsidiaries and equity method affiliates of the Mizuho Financial Group, Inc. that are shown in the financial statements (collectively, the Group). This is done for the purpose of eliminating and preventing the opportunity for the interests of the customers of the Company to be unfairly impaired as a result of those transactions, and we shall maintain our continuous efforts in ensuring the protection and enhanced convenience of customers.

2. Management Structure of Conflicts of Interest

The Company shall facilitate an appropriate structure for the management of conflicts of interest through various efforts, including appointment of personnel responsible for the management of conflicts of interest.

3. Types of the Transactions Subject to the Management of Conflicts of Interest

The Company shall, in advance, identify/categorize the types of transactions that may cause conflicts of interest and shall review those on a regular basis, as well as on an as-needed basis. Transactions that may cause conflicts of interest can be categorized into either: (a) transactions where the interest of one customer of the Group conflicts with the interests of another, or (b) transactions where the interest of a customer of the Group conflicts with the interests of the Group. The representative examples of such Types of the Transactions Subject to the Management of Conflicts of Interest are as follows.

  • ● When customers entrusting business to the Company conduct sales transactions or entrust agency of transactions of securities to companies within the Group
  • ● When customers entrusting business to the Company conduct sales transactions with companies that have a transaction relationship, etc. with sales divisions within the Group
  • ● When customers entrusting business to the Company conduct loans for consumption of monies or similar transactions with companies within the Group
  • ● When customers entrusting business to the Company conduct lease transactions of real estate, etc. or entrust agency of lease transaction of real estate, etc. to companies within the Group
  • When customers entrusting business to the Company conduct transactions concerning management (including repair work) with companies within the Group

4. Method of Management

The Company shall endeavor to correctly understand the situation of conflicts of interest involved in transactions with customers and shall address such conflicts of interest according to the prevailing situation by taking such countermeasures, etc. as listed below. The Company shall also endeavor to provide information on the specific details of any conflicts of interest, etc., in a customer-friendly manner.

  • ● Securing appropriate processes in selecting counterparties for transactions
  • ● Securing appropriate processes to set the conditions of transactions
  • ● Appropriate evaluation of business
  • ● Disclosing status of conflict of interests to customers

5. Continuous Improvement

The Company shall continuously endeavor to improve its framework for the management of conflicts of interest through verifying the effectiveness and appropriateness of the framework thereof and making necessary changes that reflect the results of such verification.

Revised January 1, 2018
Mizuho Real Estate Management Co., Ltd.

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