ON JUNE 29, 2000, THE UNITED STATES SECURITIES AND EXCHANGE COMMISSION PUBLISHED FINAL REGULATION S-P IN THE FEDERAL REGISTER. REGULATION SP REQUIRES FINANCIAL INSTITUTIONS, INCLUDING BROKER-DEALERS SUCH AS MIRAE, TO DEVELOP PRIVACY POLICIES WITH RESPECT TO CUSTOMER NON-PUBLIC INFORMATION AND TO NOTIFY ITS CUSTOMERS OF SUCH POLICIES.

BROKER-DEALERS TYPICALLY COLLECT CUSTOMER NON-PUBLIC INFORMATION, INCLUDING PERSONALLY IDENTIFIABLE FINANCIAL INFORMATION (E.G., INFORMATION THE CUSTOMER PROVIDES WHEN THE CLIENT RELATIONSHIP IS ESTABLISHED SUCH AS ITS NAME, ADDRESS, SOCIAL SECURITY NUMBER, TAX IDENTIFICATION NUMBER, ETC.) TO EVALUATE AND TO SERVE CLIENT NEEDS AND TO COMPLETE CLIENT TRANSACTIONS. MANY FINANCIAL INSTITUTIONS ALSO COMPILE CUSTOMER LISTS DERIVED FROM SUCH PERSONALLY IDENTIFIABLE INFORMATION.

MIRAE DOES NOT DISCLOSE ANY NON-PUBLIC PERSONAL INFORMATION RELATING TO ITS CUSTOMERS, OR FORMER CUSTOMERS, TO AFFILIATES OR NONAFFILIATED THIRD PARTIES, EXCEPT AS PERMITTED BY LAW, TO PROCESS CLIENT TRANSACTIONS, TO ENFORCE THE PROVISIONS OF THIS PRIVACY POLICY AND THE MIRAE TERMS OF USE, TO PROTECT AND DEFEND THE RIGHTS OF MIRAE, THE USERS OF OUR SITES AND SERVICES OR THIRD PARTIES, AND TO FULFILL LEGAL AND/OR REGULATORY REQUIREMENTS. WE (AND YOU AUTHORIZE US TO) DISCLOSE OR RETAIN, FOR AS LONG AS REASONABLY NECESSARY AND AS PERMITTED BY LAW TO ACCOMPLISH THE ABOVE NONPUBLIC INFORMATION WE HAVE COLLECTED ABOUT YOU INCLUDING PERSONAL INFORMATION IF WE BELIEVE IN GOOD FAITH THAT SUCH RETENTION AND/OR DISCLOSURE IS NECESSARY TO ACCOMPLISH THESE ENDS.

MIRAE HAS IMPLEMENTED SPECIFIC POLICIES AND PRACTICES WITH RESPECT TO SAFEGUARDING THE CONFIDENTIALITY AND SECURITY OF CUSTOMER NON-PUBLIC FINANCIAL INFORMATION. MIRAE’S EMPLOYEES ARE INSTRUCTED TO PROTECT SUCH INFORMATION AND ARE REQUIRED TO COMPLY WITH THESE ESTABLISHED POLICIES AND PRACTICES. MIRAE CONSIDERS ITS PRIVACY RESPONSIBILITIES TO BE OF PARAMOUNT IMPORTANCE AND WILL CONTINUE TO VIGOROUSLY PROTECT THE INTERESTS OF VISITORS TO THIS SITE AND ACCOUNT HOLDERS.

Uses of Information We collect

By accessing the Mirae Asset Securities (USA) Inc. (‘Mirae’ hereinafter) websites you consent to the processing by Mirae and its agents of any personal information given by you. Such processing may occur for any of the following reasons (or any other specific reasons as may be further provided on specific Mirae websites and services): i) keeping client (or potential client) records up to date; ii) learning more about you in order to develop, improve and manage the services and products we can offer you; iii) keeping you informed of any other Mirae products or services by post, fax, email and telephone; iv) the prevention and detection of fraud or money laundering and legal or regulatory reporting or activity; and, v) protecting both your and Mirae’s interests

We may (and you authorize us to) disclose or retain, for as long as is reasonably necessary to accomplish the below, information we have collected from and about you (including Personal Information) if we believe in good faith that such disclosure or retention is necessary to:

1. to respond to subpoenas, warrants served on us or other government request, or otherwise comply with applicable law, court order, judicial or arbitral process;
2. to enforce our Mirae Terms & Conditions and Privacy Policy; or
3. to protect and defend the rights or property of us, the users of our Sites and Services, or third parties.

Disclosure of Personal Information

Except as otherwise stated in this Privacy Policy and the Mirae Terms of Use, we do not disclose to or share your Personal Information with third parties, unless you ask or authorize us to do so.

We may provide your Personal Information to third party service providers and suppliers who work on behalf of or with us to provide you with some of the services and features of the Sites and to help us communicate with our Users, for instance, to get User feedback or conduct services. However, these service providers and suppliers do not have any independent right to use this information except to help us provide the Sites. We may share some or all of your Personal Information with any parent company, subsidiaries, joint ventures, or other companies under a common control (collectively, “Affiliates“), in which case we will require our Affiliates to honor this Privacy Policy.

In the event Mirae goes through a business transition such as a merger, acquisition by another company, or sale of all or a portion of its assets, including pursuant to bankruptcy (the foregoing together as a “Business Transaction”), you acknowledge that your Personal Information may be among the assets transferred as permitted by law and consent to such transfer.

Security Safeguards

Mirae has put in place commercially reasonable physical, electronic, and managerial procedures to safeguard and secure the information we collect online. However no company, including Mirae, can fully eliminate security risks associated with Personal Information. Your use of the Sites is at your own risk.

RULE 606 UNDER THE SECURITIES EXCHANGE ACT OF 1934 REQUIRES BROKER-DEALERS SUCH AS MIRAE TO DISCLOSE UPON REQUEST THE IDENTITY OF THE VENUE TO WHICH THE CUSTOMER’S ORDERS WERE ROUTED FOR EXECUTION DURING THE SIX (6) MONTHS PRIOR TO THE REQUEST, WHETHER THE ORDERS WERE DIRECTED ORDERS OR NON-DIRECTED ORDERS AND THE TIME OF THE TRANSACTIONS, IF ANY, THAT RESULTED FROM SUCH ORDERS. SHOULD YOU REQUIRE SUCH INFORMATION, PLEASE WRF ITS CLIENTS.

Cookies Policy

A cookie is a text-only string of information that a website transfers to the cookie file of the browser on your computer’s hard drive so that the website may remember who you are and help you navigate the site. A cookie will typically contain the name of the domain from which the cookie has originated, the “lifetime” of the cookie, and a value, usually a randomly generated unique number. There are two main types of cookies: session cookies and persistent cookies. Session cookies are temporary cookies that expire at the end of browsing the site, whereas persistent cookies are stored on your computer between browsing sessions until expiry or deletion. Mirae uses, and may use in the future, temporary session and persistent cookies that allow users to navigate across pages without having to re-enter certain information multiple times. Upon each visit, cookies may track how you use the website and which content you use. This aggregated information allows us to improve the website’s content for statistical and evaluation means allowing for navigation and customization features, permitting us to provide a more satisfying service experience.

In addition to cookies which send information to us, we also use cookies which collect information destined to third parties – mainly Google Analytics. Please check the relevant third party website for more information about their use of cookies .

 Disabling/Enabling Cookies

You have the ability to accept or decline cookies by modifying the settings in your browser. However, this website cannot be accessed if cookies are disabled. For more information about cookies, their uses and instructions on modifying related browser settings, you may visit relevant third party websites as resources on the subject.

Your California Privacy Rights

California Civil Code Section 1798.83 permits Users of the Sites who are California residents to request certain information regarding our disclosure of personal information to third parties for their direct marketing purposes. Under California law, California residents are entitled to ask us for a notice identifying the categories of personal customer information that we share with our affiliates and/or third parties for marketing purposes, and provide contact information for such affiliates and/or third parties. If you are a California resident and would like a copy of this notice, please submit a written request to:

Mirae Asset Securities (USA) Inc.

810 7^th Avenue, 37^th Floor

New York, NY 10019

ATTN: Mirae California Privacy Requests

information@miraeasset.us.com

Do Not Track

While many current browsers permit you to send a signal to us about your Do Not Track (“DNT”) preferences, we do not respond to DNT signals sent from your browser.

International Users

Mirae makes no claims that user content uploaded may be appropriately protected pursuant to privacy and data protection laws outside of the United States. Users from outside the United States, including the European Union, are advised that Mirae stores personal information on servers within the United States, and they are further advised that personal information uploaded to the Sites may not be protected in accordance with their local laws and regulations. If you upload personal information to the Sites from outside the United States, you do so at your own risk. Mirae is not responsible for compliance with the laws of your jurisdiction and makes no representations, warranties or guarantees that it complies with privacy, data protection or cyber security laws or similar laws or regulations outside the United States.

Privacy of Minors and Children

We do not intentionally collect information from those visitors and Users of the Services who are under 18 years old. Pursuant to the Children’s Online Privacy Act (“COPPA”), we do not knowingly contact or collect personal information from children under thirteen (13). In fact, the Sites and Services are not intended for use by children under thirteen (13) or to solicit information of any kind from children under thirteen (13).

However, it is possible that we may inadvertently receive information from children under thirteen (13). If we become aware that we have inadvertently received personal information from a visitor under the age of thirteen (13) we will delete the information from our records. If you believe that we have received information from your child that is under the age of thirteen (13), please do not hesitate to notify us using the information below. When we receive your notification, we will delete such information permanently. Such notifications can be sent to: information@miraeasset.us.com

This Privacy Statement is subject to change without notification and may vary as you navigate between different online channels.

SHOULD YOU REQUIRE ANY ADDITIONAL INFORMATION OR WISH TO DIRECT COMPLAINTS REGARDING YOUR INFORMATION HELD OR ACCESSED BY MIRAE, PLEASE WRITE TO SANG BAE, CHIEF COMPLIANCE OFFICER, MIRAE ASSET SECURITIES (USA) INC., 810 SEVENTH AVENUE, 37^th FLOOR, NEW YORK, NY 10019.