The Company will handle personal information of customers of the Company within the scope necessary for the following Business and Purposes of use:
Business
1. Financial instruments business and related ancillary business; and
2. Business activities as permitted under the Financial Instruments and Exchange Law.
Personal Data
Personal Data is information defined under article 2 of the Personal Information Protection Law that identifies an individual or relates to an identifiable individual, including but not limited to:
- Name
- Account details and related contact information
- Corporate Name
- Address or Location
- Telephone or fax number
- Email address and other identifying addresses for electronic communications
- Date of birth
- Details from passports and other government or state issued forms of personal identification (including social security, driver’s license, national insurance and other identifying numbers)
- Photographic or video images
- Signature
- Telephonic or electronic recordings
- Account Number of Bank Transfer
- Employment Management Information of Employees
- Other information (including "sensitive information") to be acquired following the customer's consent and used to the extent required to secure transactions made in the ordinary course of the Company's business
- To facilitate event management (virtual or in-person), in addition to the data mentioned above we may also collect (You provide Personal Data through the event registration process):
- Dietary requirements
- Special assistance needs (hearing, sight or physical impairment)
- Travel details
- Spouse/ partner name
- Name and age of child/children (collected through parents or guardians attending events)
- Speaker biographies
Purposes of Use
1. Purposes of use of personal information in connection with financial instruments business:
(a) soliciting, selling, and providing services and information relating to securities and other financial products;
(b) soliciting, selling, and providing services and information relating to the financial products handled by the Company and its related and affiliated companies;
(c) reviewing the suitability of the products and services offered by the Company under the principle of suitability;
(d) identification of individual customers, their agents or, where the customer is a legal entity, the person responsible for a particular transaction, including any representative or agent of such a legal entity;
(e) informing a customer of the outcome of a transaction, account balances or any other matters;
(f) carrying out administrative work, investigation and maintenance of records in connection with any transaction with a customer;
(g) carrying out risk management activities and taking steps to prevent unfair transactions;
(h) carrying out management and analysis of performance results and business;
(i) carrying out research and development of products and services through market research, data analysis, and questionnaire surveys, etc;
(j) performing delegated services involving the handling of personal information in an appropriate manner on behalf of any other party;
(k) overseeing the performance and business management of those who under take the delegation of performances of the Company’s services; exercise of rights and performance of obligations under the contracts
(l) with customers, applicable domestic and foreign laws, regulations, etc. and contracts executed in accordance with such laws, regulations;
(m) provision in response to the request from domestic and foreign regulators with legitimate authority; and
(n) any other purposes in connection with the adequate and smooth performance of transactions between the Company and its customers.
2. Purposes of use of personal information in connection with credit business:
(a) providing products and services relating to credit transactions;
(b) providing products and services related to when-issued transactions, Hakkoubi-Kessai Torihiki;
(c) providing services related to loan business, including loans secured over securities;
(d) retaining, managing, amending and exercising rights under credit arrangements upon and after conferring credits;
(e) reviewing the suitability of the products and services under the principle of suitability;
(f) identification of individual customers, their agents, or where the customer is a legal entity, the person responsible for a particular transaction, including any representative or agent of such a legal entity;
(g) informing a customer of the outcome of a transaction, account balance or any other matter;
(h) carrying out administrative work, investigation and maintenance of records in connection with any transaction with a customer;
(i) maintaining records in connection with transactions, progress of negotiations and any other matters;
(j) exercise of rights and performance of obligations under the contracts with customers, applicable domestic and foreign laws, regulations, etc. and contracts executed in accordance with such laws, regulations;
(k) provision in response to the request from domestic and foreign regulators with legitimate authority; and
(l) any other purposes in connection with the adequate and smooth performance of transactions between the Company and its customers.
3. Purpose of use of personal information in connection with insurance brokerage business:
(a) providing customers with services relating to consultation of risk management or best advising from a legal point of view;
(b) carrying out approaching for agreement with insurance companies or negotiation for conclusion of contract of insurance;
(c) exercise of rights and performance of obligations under the contracts with customers, applicable domestic and foreign laws, regulations, etc. and contracts executed in accordance with such laws, regulations;
(d) provision in response to the request from domestic and foreign regulators with legitimate authority; and
(e) any other purposes in connection with the adequate and smooth of transactions between the Company and its customers.
4. Purpose of use of personal information in connection with event management and execution:
(a) Ensuring all participants have a safe and enjoyable experience
(b) Providing notifications concerning the event
(c) Providing analysis to improve our events and develop new events, determine their overall effectiveness and enhance products and services
(d) Operating and expanding our business activities.
(e) Disclosing personal data to our third party service providers who provide services. such as marketing and event management and execution (event vendors, organizers, volunteers, contractors, and sponsors
Individuals may submit personal Data about their minor children or legal wards in relation to attendance at or participation in an event.
Individual parents or guardians must have the legal authority to disclose such personal data to us and make decisions related to processing of such personal Data in connection with the event. This personal data of minors will only be used for event registration and participation purposes.
At the time of registration participants may tell us about disabilities that may require accommodation, or special needs related to religious beliefs, and/or health characteristics, e.g. dietary requirements. This information will be used only to the extent necessary to facilitate any disability or special accommodations. Similarly, certain registration details may include sensitive personal data (e.g., dietary restrictions may indicate a particular religious belief). Such data will be used only to facilitate event participation.
Notwithstanding the purpose of use of personal information, the Company will use individual number only for the following purposes;
- Administrative duties relating to application or notification of account opening for financial instruments transactions; and
- Administrative duties relating to preparation or submission of legal documents for financial instruments transactions
The Company shall not use or provide to third parties, information concerning race, thoughts and beliefs, family origin, domicile of origins, health insurance and medical care, criminal records and other non-public special information, except for the purpose necessary for the proper operation of its business or otherwise
Please note that the scope of purpose of use of personal information is regulated by the laws and regulations, and the personal information shall not be used outside of the regulated scope of purpose.
Revised on August 26, 2021
(Translation from Japanese)