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JSDA’s Privacy Policy

The Japan Securities Dealers Association (hereinafter, referred to as ‘JSDA’) is aware of JSDA’s social responsibility to properly handle personal information and has prescribed the following Privacy Policy (hereinafter, referred to as ‘the Privacy Policy’) and does its utmost to ensure the protection of personal information in the course of achieving JSDA’s business objectives.
(Note) ‘Personal information’ in each of the following items 2 to 14 refers to personal information other than individual number and specific personal information.

1. Compliance with Applicable Laws and Regulations

JSDA complies with applicable laws and regulations such as the ‘Act on the Protection of Personal Information’ and the ‘Act on the Use of Numbers to Identify a Specific Individual in the Administrative Procedure’ as well as Guidelines for Personal Information Protection in the Finance Field, Practical Guidelines for the Security Policies regarding the Personal Information Protection in the Financial Field, and Policies for Accredited Personal Information Protection Organization in the Financial Field, etc., and does it utmost to protect personal information.

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2. The Purpose for Using Personal Information

Except as otherwise provided by laws and regulations, JSDA does not use personal information beyond the scope required to achieve the following purposes;

  1. Self-regulatory services,
  2. Services to promote the financial instruments business and sound development of the financial instruments markets,
  3. Services as an accredited personal information protection organization,
  4. Services as an institution for managing unjust demands for information,
  5. Management of JSDA’s Board of Governors and other structures,
  6. Employment screening of employees and management of retirees.

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3. Acquisition of Personal Information

JSDA rejects the acquisition of personal information through unjust means, and acquires personal information within the scope necessary for achieving the purpose of use.
In addition, when acquiring personal information, JSDA shall, except when such purpose of use is publicized in advance, promptly notify the person or publicize such purpose of use.

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4. Prohibition on the Acquisition of Sensitive Information

JSDA does not acquire, use or provide to third parties sensitive information except for purposes of use specified in advance as provided for by laws and regulations, etc.

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5. Provision of Personal Information to a Third Party

JSDA does not disclose or provide personal information to a third party without the prior approval of the person except as provided for by laws and regulations, etc.

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6. Joint Use of Personal Information

There are cases where JSDA jointly uses personal information with specified persons within the scope of the purpose of use. In the case of joint use, the personal information is handled in compliance with the Act on the Protection of Personal Information, etc.

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7. Safety Control Measures for Personal Information, etc.

JSDA takes appropriate information security measures such as countermeasures against computer viruses and unauthorized access, and implements the necessary safety control measures corresponding to the risk to prevent the loss, leakage, destruction, and damage, etc. of personal information, individual number, and specific personal information.

8. Supervision of Employees and Entrusted Parties

JSDA makes sure that JSDA’s executive officers and employees recognize the importance of protecting personal information and conducts the necessary and appropriate supervision to ensure that personal information, individual number and specific personal information is safely managed.
In addition, where JSDA outsources the handling of personal information, individual number and specific personal information, JSDA selects the entrusted parties appropriately and undertakes the necessary and appropriate supervision of the entrusted parties.

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9. Disclosure, etc. of Retained Personal Data

JSDA confirms the identity of the person and endeavors to appropriately and promptly respond where a request is received from a person in accordance with the method prescribed by JSDA to disclose, correct, delete, or suspend the use, etc. of personnel data retained by JSDA.

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10. Handling of Individual Number and Specific Personal Information

JSDA does not acquire or use individual number and specific personal information except for the limited purposes described in laws and regulations. In addition, except in the limited cases described in laws and regulations, JSDA does not provide individual number or specified personal information to third parties.
Apart from this, please refer to 1, 7 to 9 and 11 to 14 concerning the handling of individual number and specific personal information.

11. Personal Information Protection Structure

The person in JSDA with the highest level of responsibility for protecting personal information is the Chairman.
In addition, JSDA appoints a person responsible for management of personal information for the secretariat of the Personal Information Protection Committee and each department handling individual number and specific personal information to ensure appropriate management of personal information, individual number and specific personal information.

12. Establishment of Internal Rules Concerning Personal Information Protection and the Education and Training of Employees

Apart from the Privacy Policy, JSDA prescribes internal rules concerning personal information protection.
In addition, JSDA conducts education and training in relation to the Privacy Policy, etc. to make sure that JSDAs’ executive officers and employees recognize the importance of protecting personal information, individual number and specific personal information and that they are appropriately managed.

13. Initiatives for Continuous Improvement

JSDA strives to make continuous improvement for further protection of personal information such as revisions as required concerning the handling of everyone’s personal information, individual number and specific personal information.

14. Responding to Enquiries

JSDA strives to respond promptly and sincerely to questions and complaints, etc. concerning the handling of personal information, individual number and specific personal information.
If you have any questions or concerns, please contact the following;

Contact Details for Enquiries:
Japan Securities Dealers Association
1-5-8, Kayaba-cho, Nihombashi, Chuo-ku
Tokyo, 103-0025 JAPAN
Tel: +81-3-3667-8537
Hours of Operation: 9am to 5pm
Excluding December 31 to January 3, weekends, and public holidays

Japan Securities Dealers Association

Date enacted: April 1, 2005
Last revised: December 21, 2015

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