Privacy Policy

Nikko Asset Management Americas, Inc. Privacy Policy (“Privacy Policy”)

Nikko Asset Management Americas, Inc. (“NAM” or the “Company”) is committed to maintaining the privacy and security of your personal information. This Privacy Policy identifies how we may collect, process, use and disclose your personal information, including in connection with your use of our website (www.americas.nikkoam.com) and dependent pages (collectively, the “Site”).

We may update this Privacy Policy at any time by posting the amended version on the Site with the effective date of the updated version. By using our Site or requesting information from us after we make such changes to this Privacy Policy, you are deemed to have accepted such changes. We may also provide other privacy notices on specific occasions when we are collecting or using your personal information in ways that materially differ from what we have described here.

State Law Privacy Rights

If you are a California, Colorado, Connecticut, Nevada, Utah or Virginia resident, please click here or scroll down for additional disclosures and privacy protections concerning your use of the Site and collection of personal information. We do not “sell” or “share” your personal information within the meaning of those state data privacy statutes.

Privacy of Client Financial Information (Regulation S-P)

If you are a Client, or about to become a Client of NAM, your privacy rights in connection with your non-public personal information are governed by Regulation S-P. Regulation S-P requires us to adopt policies and procedures reasonably designed to: (a) ensure the confidentiality of Client records and information; (b) protect against any anticipated threats or hazards to the security of Client records and information; and (c) protect against unauthorized access or use of Client records or information that could result in “substantial harm or inconvenience” to any Client. The privacy provisions of Regulation S-P apply to information that is “nonpublic personal information.” For the purpose of this policy, Client means any US person or entity for which we serve as Investment Advisor, render investment advice or make investment decisions.

Nonpublic personal information under Regulation S-P includes “personally identifiable financial information” and any list, description, or grouping that is derived using any personally identifiable financial information that is not publicly available information.

Personally identifiable financial information includes three categories of information:

1. Information Supplied by Client: Any information that is provided by a Client or prospective Client to us in order to obtain a financial product or service. This would include information or material given to us when entering into an investment advisory agreement.
2. Information Resulting from Transaction: Any information that results from a transaction with the Client or any services performed for the Client. This category would include information about account balances, securities positions, or financial products purchased or sold through a broker-dealer.
3. Information Obtained in Providing Products or Services: Any information obtained by us from a consumer report or other outside source that is used by us to verify information that a Client or prospective Client has given on an application for advisory services.

Various sources are used to collect information about you, including: (i) information you provide to us at the time you establish a relationship; (ii) information provided in applications, forms or instruction letters completed by you; (iii) information about your transactions with us or our affiliated companies; and/or (iv) information we receive through an outside source, such as a bank or credit bureau. In order to maintain the integrity of client information, we have procedures in place to update such information, as well as to delete it when appropriate. We encourage you to communicate such changes whenever necessary.

Disclosure of Information (Regulation S-P)

We do not disclose any nonpublic, personal information (such as your name, address or tax identification number) about our clients or former clients to anyone, except as permitted or required by law or otherwise as directed in writing by the Client.

The law permits us to share client information with companies that are affiliated with us which provide financial, credit, insurance, trust, legal, accounting and administrative services to us or our clients. This allows us to enhance our relationship with you by providing a broader range of products to better meet your needs and to protect the assets you may hold with us by preserving the safety and soundness of our firm.

Accordingly, nonpublic personal information about a Client may be provided to the broker-dealer or other custodian for maintaining or servicing the Client’s account or processing or servicing a financial product or service that the Client requests or authorizes. In addition, the Company will limit access to Clients’ nonpublic personal information to only those employees who need to know such information to provide products or services to Clients, and will maintain physical, electronic and procedural safeguards to prevent such information against unauthorized access and disclosure.

It may be necessary, under anti-money laundering or other laws, to disclose information about you in order to accept your subscription. Information about you may also be released if you so direct, or if we, or an affiliate, are compelled to do so by law, or in connection with any government or self-regulatory organization request or investigation.

Finally, we are also permitted to disclose nonpublic, personal information to unaffiliated outside parties who assist us with processing, marketing or servicing a financial product, transaction or service requested by you, administering benefits or claims relating to such a transaction, product or service, and/or providing confirmations, statements, valuations or other records or information produced on our behalf.

YOU MAY OPT OUT TO HAVE YOUR NONPUBLIC PERSONAL INFORMATION DISCLOSED TO UNAFFILIATED THIRD-PARTIES BY CONTACTING US DIRECTLY BY EMAIL TO This email address is being protected from spambots. You need JavaScript enabled to view it.

We are committed to upholding this Privacy Policy. We will notify you on an annual basis of our policies and practices in this regard and at any time that there is a material change that would require your consent.

Personal Information Covered By Our Privacy Policy

“Personal Information” means information that identifies, relates to, describes, is reasonably capable of being associated with, or could reasonably be linked, directly or indirectly, with an identified or identifiable natural person. Personal information does not include publicly available information, information that is de-identified or aggregate consumer information, or Client information protected under Regulation S-P.

We collect personal information from you when you provide it voluntarily to us, typically in connection with a request that we provide you with educational materials or when you contact us. By using our Site, viewing our online materials and other content (including our educational videos) or submitting your personal information to us, you consent to the collection, processing, use and disclosure of your personal information as set forth in this Privacy Policy, as it may be updated from time to time. We may also automatically collect personal information about you and your devices/browser in connection with your visit to our Site through the use of cookies and similar technology. Our technology may, for instance, automatically identify your device/browser in connection with the particular written materials or video you access on the Site or identify the website you were on immediately prior to our Site if you link from that website to our Site or any immediate links you follow out of the Site.

Types of Personal Information We Collect

We may collect, process, use and disclose the following types of personal information in connection with your use of our Site or when you communicate with us through our online resources:

• Personal contact details, such as real name, alias, mailing addresses, government identifiers, Internet Protocol address, telephone numbers and email addresses.
• Financial or other information that you elect to provide to us.
• Approximate geolocation information based on your IP address. We collect your approximate geolocation to improve our products and services.
• Device/browser type or identifiers.
• Your IP address, and your browsing history on our Site, including searches, page and video views, and other similar information regarding your session.

We may aggregate personal information across our website visitors to track trends and analyze patterns on the Site.

Cookies and other technologies we use to automatically collect your personal information

Our Site uses “cookies” and similar technologies to analyze your visits to our Site, and to improve and customize your browsing experience. Other cookies are necessary for the Site to function properly. By using our Site, you consent to our use of all cookies and similar technologies. You can choose whether to accept cookies by changing the settings on your browser. Please consult your Internet browser’s documentation for information on how to do this. However, if you choose not to accept functional or necessary cookies, the Site may not function properly and some features may not work as they were intended. For analytics of our Site, we use Google Analytics, a web analytics service provided by Google, Inc. Google Analytics may set cookies on your browser or read cookies that are already there to collect information concerning your Site visit to help us analyze usage of our Site. We use the information provided by Google Analytics to improve our Site. For more information regarding how Google Analytics collects and uses your personal information please visit http://www.google.com/policies/privacy/partners/. By using our Site, you consent to the processing of data about you by Google as described here and in Google’s privacy policy. You can control the information provided to Google by using one of the methods set forth in http://www.google.com/policies/privacy/partners/ or use the Google Analytics opt out browser add-on at http://tools.google.com/dlpage/gaoptout?hl=en.

Business reasons for collecting, processing, using and disclosing your personal information

Depending on the individual circumstances, we collect, process, use and disclose personal information for the legitimate business purposes of NAM. These purposes may include:

• To communicate with you and respond to your inquiries.
• To provide you with information concerning benefits, products or services that you request from us.
• To show you educational videos and articles.
• To market services tailored to your interests.
• To provide you with email alerts, and other notices concerning events or news, that may be of interest to you.
• To analyze and improve the functionality and effectiveness of our Site.
• To protect the security of our Site.
• As necessary or appropriate to protect the rights, property or safety of us, our clients or others.
• To prevent, detect and investigate fraud.
• To fulfill or meet the purpose for which you provided us with your personal information.
• To carry out our obligations and enforce our rights arising from any contracts entered into between you and us, including for billing collections.
• To comply with our legal obligations.
• To respond to law enforcement requests and as required by applicable law, court order, or governmental regulations.
• To improve our services and products.
• To further our other legitimate interests, including to make available and highlight content and opportunities that are relevant to you and other visitors to our Site.
• As described to you when collecting your personal information or as otherwise set forth in relevant data privacy laws.

Disclosure of your personal information

In some instances, we may retain other companies and individuals to perform functions on our behalf, including, but not limited to, web hosting platforms, contact relationship managers, customer service and marketing providers, video content providers, and shippers. Such outside organizations may be provided with access to your personal information to perform the functions for which they have been retained. For example, if you view a video on our Site, you consent to your personal information being disclosed to outside organization we use to enable videos on our Site. The Company requires its service providers, who provide services on our behalf to maintain the privacy and security of your personal information.

We may disclose your personal information to our affiliates, including for marketing purposes.

Safeguards for your personal information

We are committed to maintaining the security of your personal information in compliance with all applicable laws and our policy. We take commercially reasonable steps to protect personal information from loss, misuse, unauthorized access, disclosure, alteration, or destruction.

How long do we store your personal information?

We retain your information for as long as you maintain an ongoing relationship with us, as required by law, the duration of any applicable limitation period under applicable law or as necessary to fulfill the purposes set out in this disclosure.

Your choices regarding your personal Information?

You have choices about how we use your personal information to communicate with you and send you marketing information. You can opt out from receiving future marketing communications from us at any time by:

• Using the unsubscribe function in the email or marketing information you receive from us; or
• Contacting us as set forth under “How to contact us” below.

In addition, you have choices available to you through the device or browser you use to access the Site regarding your cookies and other browser settings. For information about privacy settings on your browser, see, for example, Google Chrome. You may also change the settings on your mobile device, which lets you choose how and whether your location is shared with us. See, for example, Apple.

What is our policy on children’s personal information?

Our Site is not intended for use by children under 13 years of age. No one under age 13 may provide any information to us through the Site. We do not knowingly collect or use personal information on this Site from children under 13. If you are under 13, do not access, use or provide any information on the Site or on or through any of its features. If we learn we have collected or received personal information from a child under 13 without verification of parental consent, we will delete that information. If you believe we might have any information from or about a child under 13, please contact us.

Links to other websites and services

The Site may have links to other websites that are not operated by us. We have no control over how these websites may collect your information and no liability for the practices, policies and security measures implemented on these websites or for their content. Our Privacy Policy does not apply to those websites. You should read the privacy notices on those other websites before you submit your information through them.

We do not honor “Do Not Track” requests or Global Privacy Controls

We do not presently recognize browser “Do Not Track” requests or Global Privacy Controls.

Contact Us

If you have any questions or concerns about our use of your personal information, please do not hesitate to contact us through any of the methods listed below. If you have a complaint or concern about how we are using your personal information, then we will work to address such concern(s).

Mail:

Postal Address: Nikko Asset Management Americas, Inc.
Attn: Douglas Kim, Legal Counsel
605 Third Avenue, 38th Floor
New York, NY 10158

Email:

This email address is being protected from spambots. You need JavaScript enabled to view it.
Telephone:
1-800-921-2987

Personal Information We Collect

We collect information that identifies, relates to, describes, references, is reasonably capable of being associated with, or could reasonably be linked, directly or indirectly, with a particular consumer or household (“personal information”).

Personal information does not include publicly available information, information that is de-identified or aggregate consumer information, or information or rights that are outside the scope of the CPRA, including non-public personal information that is within the scope of Regulation S-P or the California Financial Privacy Act.

By using our Site, viewing our content (including our videos) or submitting your personal information to us, you consent to the collection, processing, use and disclosure of your personal information as set forth in this CPRA Privacy Notice, as it may be updated from time to time.

We collect the following categories of personal information. This Privacy Notice also serves to inform consumers of the specific categories of personal information that may have been collected from consumers, within the last twelve (12) months. Please note that the below enumerations are only examples of the types of information found in each category, and as such, do not present an exhaustive list of the specific pieces of personal information collected; rather, they are meant to guide your understanding of the different types of categories of personal information that may be collected.

Category	Examples
A. Identifiers.	A real name, alias, postal address, unique personal identifier, online identifier, Internet Protocol address (only to the extent based on the particular circumstances it is personally identifying to you), email address, account name, Social Security number, driver's license number, passport number, or other similar identifiers.
B. Any personal information categories listed in the California Customer Records statute (Cal. Civ. Code § 1798.80(e)).	This information comprises any information that identifies, relates to, describes or is reasonably capable of being associated with you or your household in our business records. Some personal information in this category may overlap with other categories.
C. Commercial information.	This category includes information concerning the services and products you requested to receive educational information on.
D. Internet or other similar network activity.	Browsing history, search history, information on a consumer's interaction with our Site, including information that we automatically collect as you browse our Site.
E. Geolocation data.	Approximate physical location based on your IP address.
F. Inferences drawn from other personal information.	We may accumulate the information you provide to develop a consumer profile concerning your behavior and interests, including for our marketing and advertising purposes, and to improve our services and our Site.

We do not collect sensitive personal information for purposes of inferring characteristics.

Retention Periods

We retain your information for as long as you maintain an ongoing relationship with us, as required by law, the duration of any applicable limitation period under applicable law or as necessary to fulfill the purposes set out in this disclosure.

Categories of Sources of Personal Information

The Company collects personal information from the following categories of sources:

• directly from you. For example, from documents that individuals voluntarily provide to us and correspondence related to requests for information and other materials.
• service providers providing services on our behalf. We require our service providers who we provide your personal information to in order to provide services to maintain the privacy and security of your personal information.
• our affiliates.

Use of Personal Information

We may use or disclose the personal information we collect for one or more of the following business purposes:

• To communicate with you and respond to your inquiries.
• To provide you with information concerning benefits, products or services that you request from us.
• To show you educational videos and articles.
• To market services tailored to your interests.
• To provide you with email alerts, and other notices concerning events or news, that may be of interest to you.
• To analyze and improve the functionality and effectiveness of our Site.
• To protect the security of our Site.
• As necessary or appropriate to protect the rights, property or safety of us, our clients or others.
• To prevent, detect and investigate fraud.
• To fulfill or meet the purpose for which you provided us with your personal information.
• To carry out our obligations and enforce our rights arising from any contracts entered into between you and us, including for billing and collections.
• To comply with our legal obligations.
• To respond to law enforcement requests and as required by applicable law, court order, or governmental regulations.
• To improve our services and products.
• To further our legitimate interests, including to make available and highlight content and opportunities that are relevant to you and other visitors to our Site.
• As described to you when collecting your personal information or as otherwise set forth in the CCPA and CPRA.

We will not collect additional categories of personal information or use the personal information we collected for materially different, unrelated, or incompatible purposes without providing you additional notice.

Disclosure of your Personal Information

We do not sell your personal information to third parties, or “share’ your personal information, including the personal information of minors under 16 years of age.

We may disclose your personal information to a service provider or affiliate for a business purpose. When we disclose personal information to a service provider for a business purpose, we enter a contract that describes the purpose, requires the recipient to both keep that personal information confidential and not use it for any purpose except performing the contract and prohibits the service provider from combining personal information received from us from personal information received from other sources. By using our Site, you consent to the disclosure of your personal information to our service providers, including but not limited to our video content provider.

We may disclose any information, including personal information, we deem necessary, in our sole discretion, to comply with any applicable law, regulation, legal process or governmental request, to protect ourselves from fraudulent or illegal activity, and to defend against legal claims.

• Since the Updated Date, we have not “shared” (i.e., targeting you with advertising based on personal information obtained across businesses, websites, applications or services, other than the Company’s website or services) the categories of personal information collected in Categories A-F with third parties. In the past twelve (12) months prior to the Updated Date, we have “shared” these categories of personal information with third parties.
• In the past twelve (12) months, we have disclosed the categories of personal information collected in Categories A-F with the following outside organizations or entities who are not service provider or contractors providing services on our behalf: affiliates; third parties to whom you authorize us to disclose your personal information in connection with benefits or services we provide to you; and governmental agencies when required by law.
• Since the preceding twelve (12) months, we have not sold any of your personal information.

Your CPRA Rights

Under the California Privacy Rights Act, you have the following rights in personal information held by us:

• You have the right to request that the Company disclose the personal information that the Company collects, uses, and discloses about you. You may “request to know”: (i) the categories of personal information that the Company has collected about you; (ii) the categories of sources from which the personal information is collected; (iii) the business or commercial purpose for collecting your personal information; (iv) whether any categories of personal information were disclosed for a business purpose to third parties and the categories of third parties with whom the Company discloses your personal information; and (v) the specific pieces of personal information that the Company has collected about you. Your request may pertain to the personal information collected about you on or after January 1, 2022. If your request covers a time period beyond twelve (12) months from the date of your request, the Company may deny your request as to that time period where it would be impossible for the Company to provide you with the information or involve disproportionate effort. The Company may deny your request to search for certain information under certain circumstances (e.g., where the Company retains the information solely for legal and compliance purposes).
• You have the right under certain circumstances to receive specific pieces of your personal information in a format that is understandable, and to the extent technically feasible, in a structured, commonly used, machine-readable format that allows you to transmit the information to another entity.
• You have the right to correct inaccurate personal information.
• You have the right to request deletion of personal information under certain circumstances. For example, we may not be required to delete personal information if we need to retain the information to comply with a legal obligation. In addition, we may delay deletion with respect to data stored on an archived or backup system, until the archived or backup system relating to that data is restored to an active system or next accessed or used for a sale, disclosure, or commercial purpose. Exceptions may include to (i) complete the transaction for which we collected the personal information, provide a good or benefit that you requested, take actions reasonably anticipated within the context of our ongoing business relationship with you; (ii) help to ensure security and integrity to the extent the use of the consumer’s personal information is reasonably necessary and proportionate for those purposes; (iii) debug products to identify and repair errors that impair existing intended functionality; (iv) exercise free speech, ensure the right of another consumer to exercise their free speech rights, or exercise another right provided for by law; (v) enable solely internal uses that are reasonably aligned with consumer expectations based on your relationship with us; (vi) make other internal and lawful uses of that information that are compatible with the context in which you provided it; and (vii) comply with our legal obligations.
• You have the right to know what information is shared with third parties, and to whom and to opt out of sharing for cross-context behavioral advertising.
• You have the right not to receive discriminatory or retaliatory treatment for the exercise of any of these rights. We will not discriminate or retaliate against you or refuse to provide you products or services because you have exercised your rights.

You may submit verifiable requests concerning any of your rights by contacting us as provided for below. We will use reasonable methods for verifying that the person making a request to know, data portability, request to correct or a request to delete is the individual about whom we have collected personal information.

This may involve, depending on the nature of the request, confirming that the email address provided corresponds with our records concerning the individual. Additional reasonable measures may also be required to verify the identity of the person making the request depending on the circumstances. For requests to delete made electronically, you may be required to submit the request to delete, and then separately confirm that you want your personal information deleted. We will maintain a record of your request to delete. To the extent that you wish to use an authorized agent to make requests concerning the rights set forth above, you will need to provide us either with a power of attorney or, alternatively, with signed authorization to communicate with your authorized agent, and directly confirm that you provided the authorized agent with permission to submit the request.

We will (i) confirm receipt of requests to know, data portability, to correct inaccurate information or to delete within ten (10) business days of the request; and (ii) generally respond to requests to know, data portability, to correct inaccurate information or to delete within forty-five (45) calendar days of the request. If we need additional time to respond to your request beyond the forty-five (45) calendar days, we will provide you with notice explaining the reasons we need more time, and we will then take up to an additional forty-five (45) calendar days to respond to your request.

State Privacy Notice Under Colorado, Connecticut, Nevada, Virginia and Utah Law

This State Privacy Notice applies to the collection of personal data from residents of Colorado, Connecticut, Nevada, Virginia or Utah law on or after the effective date of privacy laws in those states to the extent applicable. This State Privacy Notice supplements the information above to provide those residents with rights and information required in the afore-mentioned states. We do not “sell” or “share” your personal information within the meaning of these privacy laws. We do not process your personal information for purposes of (i) targeted advertising, (ii) sales of personal information; or (iii) profiling in furtherance of decisions that produce legal or similarly significant effects concerning the consumer.

In addition to the disclosures in our notice above, you may exercise your rights under those laws, including, as applicable, rights to know, access, correct, delete, or portability by contacting us at the contact information under the “Exercising Your Rights” section below. You have a right to appeal our decision if we decline to process your request. You can do so by replying directly to our denial. Your rights will be determined by the particular state you live in.

Exercising Your Rights

If you would like to exercise any of the rights described above, please submit a verifiable consumer request to us contacting:
Phone: 1-800-921-2987
Email: This email address is being protected from spambots. You need JavaScript enabled to view it.
Postal Address: Nikko Asset Management Americas, Inc.
Attn: Douglas Kim, Legal Counsel
605 Third Avenue, 38th Floor
New York, NY 10158

Non-Discrimination

We will not discriminate or retaliate against you for exercising any of your CCPA or CPRA rights, or rights under any state data privacy laws.

Changes to Our Privacy Notice

We reserve the right to amend this Privacy Notice at our discretion and at any time. By accessing the Site or communicating with us after we make any such changes to this CPRA Privacy Notice or State Privacy Notice, you are deemed to have accepted such changes. Please check this Privacy Notice regularly, and before you submit additional personal information via the Site.

Financial incentives to California Consumers

We do not offer you various financial incentives such as loyalty programs, discounts and special offers when you provide us with contact information and identifiers such as your name and email address.

California Shine the Light Law/Online Privacy Protection Act

California Civil Code §1798.83 provides that California residents may request certain information concerning the disclosure of personal information to third parties for direct marketing purposes. Pursuant to California Business Code §§22575-22579, you may review and request changes to any of your personal information that we have collected. Should you wish to request this information or exercise these rights, please reach us at the contact information provided below.

Contact Information

If you have any questions or comments about this notice, our Privacy Notice, the ways in which we collect and use your personal information, your choices and rights regarding such use, or wish to exercise your rights under California or other state data privacy laws, please do not hesitate to contact us at:
Phone: 1-800-921-2987
Email: This email address is being protected from spambots. You need JavaScript enabled to view it.
Postal Address: Nikko Asset Management Americas, Inc.
Attn: Douglas Kim, Legal Counsel
605 Third Avenue, 38th Floor
New York, NY 10158