Privacy Policy

 Daiwa Securities Capital Markets Co. Ltd. (the “Company”) establishes and complies with privacy policy as follows, and treats personal information appropriately pursuant to the Act on the Protection of Personal Information.

• The Company considers personal information as an individual property, recognizes its appropriate protection as an important responsibility, and complies with the Act on the Protection of Personal Information, the relevant laws and regulations, the guidelines of the relevant ministries and agencies, the Company’s internal rules, and other norms.
• The Company will specify the purpose of use of personal information, and will not use personal information by exceeding the extent necessary for the accomplishment of the purpose of use of personal information unless when there is a prior consent of the person or it is permitted by laws and regulations.
• The Company will acquire personal information to the extent necessary for the accomplishment of the purpose of use in an appropriate and lawful manner.
• The Company will appropriately manage with a necessary security measure so that leakage, loss, or the like, regarding personal information may not occur. In addition, we will conduct trainings and appropriate supervisions for employees about handling of personal information.
• The Company will implement a necessary and appropriate supervision for the entrusted company in the case of entrustment of handling of personal data.
• The Company will accordingly review this privacy policy with a change of laws and regulations and continuously improve it.
• The Company will endeavor to appropriately and promptly respond when there is a request for disclosure, correction, deletion, and discontinuation of use, regarding retained personal data.
• The Company will endeavor to sincerely and promptly respond to inquiries, requests, and complaints, regarding handling of personal information.

2.Appropriate Acquisition of Personal Information

The Company will acquire personal information from the following sources in an appropriate and lawful manner to the extent necessary for the accomplishment of the purpose of use.

• The information directly filled into an account application form, questionnaire, and etc. by the customers.
• The information publicized on the newspaper, internet and books.
• The information acquired by the customers through provisions of commodity and service.

Moreover, the Company will not obtain, use, or provide to any third parties any sensitive information (including, without limitation, information concerning any person’s political position, personal beliefs (religion, philosophy, or creed), membership of any labor union, race or ethnic group, family origin, registered domicile, medical or health care record, sexual activities, or criminal record), except as permitted by laws and regulations.

3.Appropriate Management of Personal Information

The Company will appropriately manage with a necessary security measure so that leakage, loss, alteration, improper access or the like regarding personal information may not occur. In addition, we will conduct trainings and appropriate supervisions for employees about handling of personal information.

4.Provision of Personal Data to Third Parties

The Company will not disclose or provide to third parties any personal data of the person without their respective prior consent, except for when it is based on laws and regulations and when we may entrust personal data to the extent necessary for the accomplishment of the purpose of use, and when it is permitted by laws and regulations.

5.Entrustment of Handling of Personal Data

The Company may entrust all or a part of the business to the extent necessary for the accomplishment of the purposes of use and provide the necessary personal data to proceed the business smoothly in such cases below and so on. In the case of entrustment, the Company will supervise the entity entrusted by it with necessary and adequate care, including supervision of any entity entrusted by the entity entrusted by the Company.

• Printing and mailing operations of letters for customers.
• Business operations concerning operation and management of information systems.

6.Joint Use of Personal Data

The Company may use personal data jointly with its group companies, in order to offer higher-value-added services and financial instruments while utilizing the expertise of the group companies, within the following scope.

In addition, the Company will not jointly use undisclosed information which is defined under the Cabinet Office Ordinance on Financial Instruments Business. In case where joint use is restricted by any laws and regulations, we shall not jointly use personal data unless joint use is allowed by such laws and regulations as in the case where customer's written consent of such use is obtained.

• Items of Personal Data Jointly Used
  The customer’s name, address, date of birth, contact information (such as telephone number or e-mail address), occupation, information regarding the customer such as customer’s transaction needs, contents of transaction, information regarding the customer’s transaction such as balance on deposit.
• Scope of Joint Users
  Daiwa Securities Group Inc., holding company of Daiwa Security Capital Markets Co. Ltd. and its consolidated subsidiaries.
• Purposes of Joint Use
  • To propose, provide information on, and conduct research and develop activities for, in a comprehensive manner, best and optimum products and services that accommodate customer needs.
  • To offer various products and services.
  • For management and internal administration of. Daiwa Securities Group.
• Entity Responsible for Management of the Personal Data
  Daiwa Securities Capital Markets Co. Ltd.

7.Disclosure, Correction, Deletion, Discontinuation of Use, Etc. of Personal Data

When the disclosure, correction, addition, deletion, discontinuation of use, erasure, discontinuation of the provision to the third parties or the like (“disclosure etc.”) regarding retained personal data are asked in a disclosure written request by the person himself/herself or his/her agent, the Company will respond in writing within a reasonable period and to a reasonable extent except for the case where, based on laws and regulations, disclosure etc. is not required, after confirming that it is a request from the person himself/herself. In addition, please contact the following reception counter for the details of procedure.

8.Inquiry, Request, Complaint, Etc. About Handling of Personal Information

The Company will endeavor to sincerely and promptly respond to inquiries, requests, complaints, regarding handling of personal information.

About an inquiry about handling of personal information, please contact the following reception counter.

9.Authorized Personal Information Protection Organization

The Company is a member of the Japan Securities Dealers Association (“JSDA”) that is an authorized personal information protection organization approved by the Finance Services Agency. Personal Information Consultation Office of JSDA will receive complaints and provide consultation with respect to its members’ handling of personal information.