Canadian Solar Infrastructure Fund, Inc.

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Personal Information Protection Policy

Established July 11, 2017

I. Basic Policy

With regard to the handling of personal information, Canadian Solar Infrastructure Fund, Inc. (hereinafter referred to as the “Investment Corporation”) shall comply with the Act on the Protection of Personal Information (hereinafter referred to as the “Personal Information Protection Act”), the Act on the Use of Numbers to Identify a Specific Individual in the Administrative Procedure (hereinafter referred to as the "Numbers Act") and other applicable laws and regulations, guidelines, etc. and endeavor to carry out appropriate and secure management and operation in accordance with the above. Definitions of the terms used in this Privacy Policy shall correspond to those provided for in applicable laws and regulations, as appropriate.

II. Purpose of Use

1. Purpose of use of personal information

Personal information to be acquired by the Investment Corporation shall be primarily concerned with that of holders of securities issued by the Investment Corporation and that of the Investment Corporation’s business partners and others.
The Investment Corporation shall use personal information for the following purposes:

(1) To fulfill the Investment Corporation’s obligations to the holders of securities issued by the Investment Corporation;
(2) To implement measures to facilitate the relationship between the Investment Corporation and unitholders;
(3) To prepare a unitholder register and an investment corporation bond register of the Investment Corporation, to prepare mandatory reports in accordance with laws and regulations and to manage information of unitholders and right holders of investment corporation bonds;
(4) To collect, statistically process and analyze data at the time when the Investment Corporation issues additional investment units and when it issues investment corporation bonds or for providing certain information to potential buyers of other securities issued by the Investment Corporation;
(5) To enable the Investment Corporation to efficiently implement the acquisition of investment assets, investigations and reviews relating to such acquisition, the collection and analysis of data relating to solicitations for purchases and sales activities;
(6) To commission lawyers, certified public accountants, real estate appraisers, judicial scriveners, registered land and building investigators and other specialists to help the Investment Corporation to carry out its work;
(7) To borrow funds for the acquisition and management of assets to be conducted by the Investment Corporation and to issue investment corporation bonds, additional investment units and so forth; and  
(8) To facilitate appropriate and efficient execution of other tasks of the Investment Corporation.

2. Purpose of use of personal identification numbers

Notwithstanding the provisions of 1. above, the Investment Corporation shall use personal identification numbers for the following purposes:

(1) Personal identification numbers of customers, business partners and investors
(a) For clerical work connected with the preparation of records of transactions and other materials associated with financial instruments;
(b) For clerical work connected with the preparation of payment records of remuneration, fees, contract money and awards and payment records concerning the payment of consideration for other services or rights;
(c) For clerical work connected with the preparation of payment records concerning the payment of consideration for the use or the acceptance of transfer of property or other purposes;
(d) For clerical work connected with the preparation of payment records concerning the payment of dividends, surplus or interest and so forth or concerning the distribution of other profits;
(e) For clerical work connected with the preparation of records concerning the granting or the exercise of rights to acquire new investment units issued by the Investment Corporation or records concerning the allotment of investment units without consideration;
(f) For other clerical work relating to (a) to (e) above; and
(g) For clerical work connected with the preparation of other mandatory records and so forth that are required to contain personal identification numbers in accordance with the provisions of laws and regulations.
(2) Personal identification numbers of officers of the Investment Corporation and their family members
(a) For clerical work connected with the preparation of certificates of taxes withheld from salary income and retirement income, the preparation of salary payment reports, the filing of applications for the exemption for dependents, etc. (transfer), the filing for salary earners of insurance premium deduction and special income tax deductions for spouses and other clerical work connected with withholding taxes and similar matters;
(b) For clerical work connected with the filing of and applications for health insurance, employees’ pension insurance, employment insurance and other social insurance and labor insurance or corporate pension (including third insured persons prescribed in the National Pension Act); and
(c) For other clerical work relating to (a) and (b) above.

The Investment Corporation shall use personal information to the extent necessary to accomplish the purposes of use described above and shall not use personal information for any other purposes. Moreover, it shall not change the purpose of use of personal information beyond the scope in which it is reasonable to find that the changed purpose of use is appropriately relevant to the original purpose of use.

III. Acquisition

1. Acquisition of personal information

The Investment Corporation shall acquire personal information to the extent necessary for the accomplishment of the purpose of use in a lawful and fair manner. Prior to acquiring personal information independently or from operators and others who manage the investment assets of the Investment Corporation, the Investment Corporation shall announce the purpose of use on its website, etc. Furthermore, prior to acquiring a specific individual’s personal information from a contract concluded with the person or from other documents (including records prepared by an electronic method) supplied by the person or prior to receiving such personal information directly from the person in documents, by electronic method and by other means, the Investment Corporation shall specify the purpose of use of the personal information in advance. However, when the purpose of use is clear from the circumstances in which the personal information is provided, or in other cases where it is permissible under laws and regulations, etc., such disclosure may be omitted.
With regard to any sensitive information, the Investment Corporation shall not acquire, use or provide such information to any third party except as permitted by the relevant laws and regulations, guidelines and so forth.

2. Acquisition of personal identification numbers

Notwithstanding the provisions of 1. above, the Investment Corporation may request a specific individual or other “persons in charge of a process related to an individual number” for the provision of personal identification numbers only when it is necessary to implement the clerical work described in II-2 above. In addition, the Investment Corporation shall make a request for the provision of a personal identification number at the time when the necessity for such clerical work arises or is anticipated to arise.

3. Identity verification

When receiving the provision of a personal identification number, the Investment Corporation shall implement identity verification by the methods prescribed in Article 16 of the Numbers Act. The Investment Corporation shall also confirm the identity of any agent of a specific individual, the agent’s power of attorney and the person’s personal identification number, using the methods provided in said Article.

IV. Provision to third parties

1. Provision of personal data to third parties

Except in the cases stipulated in the items of Paragraph 1, Article 23 of the Personal Information Protection Act, the Investment Corporation shall not provide personal data to any third party without obtaining the prior consent of the person.

2. Provision of specific personal information to third parties

Notwithstanding the provisions of 1. above, the Investment Corporation shall not provide specific personal information to any third party except in the cases stipulated in the items of Article 19 of the Numbers Act.

V. Assurance of the accuracy, etc. of personal data

The Investment Corporation shall strive to keep personal data accurate and up to date within the scope necessary to achieve the purpose of use, and to delete the personal data without delay when such use has become unnecessary.

VI. Security control action

The Investment Corporation shall take the necessary and appropriate action to ensure the security of personal data, including preventing illegal access from outside to, unauthorized use, loss, destruction, alteration, leakage and so forth of the personal data it handles.

VII. Outsourcing the handling of personal data

The Investment Corporation may outsource the handling of the personal data it has obtained. When the Investment Corporation outsources all or part of the handling of personal data, it shall carefully select a service provider based on the condition that the service provider has established and operates a management system to protect personal data properly, and the Investment Corporation shall conclude an outsourcing agreement with the service provider. The Investment Corporation shall also exercise the necessary and appropriate supervision over the service provider to ensure the security of the personal data.

VIII. Continuous improvement

The Investment Corporation shall develop internal rules and other materials concerning personal information, including this Privacy Policy, review them on a continuous basis and strive to improve them. In addition, this Privacy Policy may be revised as needed from time to time in accordance with changes to applicable laws and regulations.

IX. Response to request, etc. for disclosure

If an individual identified by personal data requests the Investment Corporation to notify the purpose of use, to disclose, to correct, add or delete the content of the personal data held by the Investment Corporation, to discontinue its use, to discontinue its provision to a third party or to erase it, the person may contact or make a request to the following inquiry desk. The Investment Corporation shall confirm the identity of the applicant or the requesting party (using a copy of his or her driver’s license, etc.) and respond to such application or request within a reasonable period (in the case where such application or request is made by an agent, the response will be made within a reasonable period after verifying the identity of the agent).
Please also contact the inquiry desk of the Investment Corporation for any question about this Privacy Policy.

(Inquiry desk)
Name Financial Planning Department, Canadian Solar Asset Management K.K.
Location 33F Shinjuku Center Building, 1-25-1 Nishi-shinjuku, Shinjuku-ku, Tokyo 163-1030 Japan
Telephone number 03-6279-0311 (main telephone)
Service hours 9:00 a.m. – 6:00 p.m. (excluding weekends and public holidays)

For inquiries about matters recorded in the unitholder register and matters concerning the handling of clerical work connected with personal information, please contact the following contact point.

(Contact information)
Name Stock Transfer Agency Business Planning Department, Sumitomo Mitsui Trust Bank, Limited
Location 2-8-4 Izumi, Suginami-ku, Tokyo, 168-0063 Japan
Telephone number 0120-782-031 (toll-free)
Service hours 9:00 – 5:00 on weekdays
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