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Procedures Concerning Requests to Disclose, Correct, Delete, and to Suspend its Use, etc.

The procedures described below apply to individuals living outside Japan who wish to request disclosure, correction, deletion, or suspension of use, etc. of JSDA's retained personal data and record on the third-party provision.

If you live in Japan, please also refer to the procedures here as necessary (which will move you to the relevant Japanese-language web page).

This page describes procedures for individuals to request disclosure, correction, deletion, suspension of use, etc. of personal data which is retained and provided to a third party by JSDA. Disclosure of Qualifications Obtained in Examinations for Sales Representatives, etc. can be also requested from this page.

1. Process for requesting disclosure, correction, deletion, suspension of use, etc. of retained personal data and the record on the third-party provision (hereinafter referred to as disclosure, etc.”)

Complete an applicable application form for disclosure, etc.

Please use an application form concerning requests for disclosure, etc. described below in “2. Application Forms” and complete an application form for disclosure, etc.
The request can be submitted via the designated online form or by postal mail. JSDA will reply either by email or postal mail, whichever you prefer.

Submit the application form for disclosure, etc.

[When submitting an application form for disclosure, etc. via the designated online form]
Please fill in the required information on the respective designated online form according to the information you wish to disclose, and submit the request with the following required documents (1) and (2) attached (for details, please refer to “3. Required Documents for the Request” below).
If you wish to receive a response in a printed document by postal mail, please send a (3) return envelope bearing your name and address by post to the [Point of Contact]. Please be sure to read “4. Points to Note” below.

(Required documents)

(1)   An applicable application form according to the information you wish to disclose
(2)   Image data of identity confirmation document(s) (If you cannot upload image data, please send the identity confirmation document(s) by post separately to the [Point of Contact].)

The next item applies if you wish to receive a response in a printed document by postal mail
(3)   A return envelope bearing your name and address

[When submitting an application form for disclosure, etc. by postal mail]
Please send the following required documents (for details, please refer to “3. Required Documents for the Request” below) to the respective [Point of Contact] according to the information you wish to disclose. Please be sure to read “4 Points to Notes” below.

(Required documents)

(1)   An applicable application form according to the information you wish to disclose
(2)   Identity confirmation document(s)

The next item applies if you wish to receive a response in a printed document by postal mail
(3)   A return envelope bearing your name and address

Identity Confirmation, etc. based on application form for disclosure, etc.

JSDA promptly confirms the identity of the applicant and verifies the information on the retained personal data and the record on the third-party provision.

Preparation and sending of a response

JSDA promptly sends the results of the verification to the applicant either by postal mail or email. (Please select either of the two methods. If you have not selected the response method, JSDA will send the response by email.)
The response will be delivered in the following manner to prevent leakage, etc. of personal information to third parties.

[If you have selected postal mail for receiving a response]
The response will be sent by postal mail to the applicant's address by ordinary registered mail. If the request is made by an agent on behalf of the applicant, the response will be sent by postal mail to the applicant or the agent (the person indicated on the return envelope) as the addressee.

[If you have selected email for receiving a response]
A PIN-protected response will be sent to the email address provided in the application form. The PIN code is required to open the response.

2. Application Forms

Depending on the information you wish to disclose, please select the appropriate application form from (1) to (3) below to download and fill out the application form after checking “3. Required Documents for the Request” and “4. Points to note” below.

(1)   For requesting disclosure of “Qualifications Obtained in Examinations for Sales Representatives, etc.”
Application Form for Disclosure of Personal Information (Qualifications Obtained in Examinations for Sales Representatives, etc.)WORD

   Application Guidance (Qualifications Obtained in Examinations for Sales Representatives, etc.)PDF

(2)   For requesting disclosure of “Disciplinary Action Against a Sales Representative” (including incident reports received), etc.
Application Form for Disclosure of Personal Information (Disciplinary Action Against a Sales Representative, Incident Reports Received, etc.)WORD

   Application Guidance (Disciplinary Action Against a Sales Representative, Incident Reports Received, etc.)PDF

(3)   For other requests than above “(1)” and “(2)”
Application Form for Disclosure, Correction, Deletion, or Suspension of Use, etc. of Retained Personal Data and the Record on the Third-Party ProvisionWORD

3. Documents Required for Requests

(1)   Applicable application form from among those listed in (1) to (3) under “2. Application Forms” above (please download)
(2)   Identity confirmation document(s) (documents listed below [If submitting via the designated online form] or [If submitting by postal mail])

[If submitting via the designated online form]
Either (i) or (ii) below
(i)   Image data (PDF file (.pdf), MS-Word file (.docx), or MS-Excel file (.xlsx), the same shall apply hereinafter.) of the driver's license showing address
(ii)  Image data of passport and image data of copy of residence certificate

Note: Scanned or camera-photographed images of the documents listed in (i) or (ii) above may be accepted. (Please note that we can only accept files in formats listed above). For image data, please submit an image that is clear enough that the information for identification is legible.

[If submitting by postal mail]
Any one item below (iii) through (v)
(iii)   Copy of the driver's license showing address
(iv)   Copy of passport and copy of residence certificate
(v)    Copy of Health Insurance Card and copy of residence certificate

(3)   For receiving a response by postal mail
A return envelope bearing your name and address

[Request by an Agent]
If a request is made by an agent on behalf of the applicant, the following documents (or image data of the following documents) are required in addition to the documents listed in (1) through (3) above (please submit via the designated online form or by postal mail).

  ● A letter granting power of attorney from the applicant (signed by the applicant)
  One of the documents listed in (2) above to confirm the identity of the agent
  An official document corroborating the applicant’s signature in a letter granting power of attorney above

4. Points to Note

(1)
JSDA may be unable to accept a request for disclosure, etc. if the application form described in “2. Application Forms” above, identity confirmation document(s), etc. are not provided in full, and/or if the email address entered on the designated online form is incomplete, etc.. In these cases, or when the response sent by JSDA is returned by the post office, JSDA shreds all documents except for the application form and delete the data after a certain period to prevent information leakage.
(2)
If a request is made by an agent, JSDA will proceed with disclosure, etc. only if it can confirm that the agent is duly authorized by the applicant. JSDA may contact you to confirm that the agent is authorized to act on behalf of the applicant.
(3)
Please be aware that it may take some time for JSDA to respond, due to the procedures for verifying the information on the retained personal data and the record on the third-party provision, as well as confirming the identity of the applicant, etc.
(4)
JSDA reserves the right not to disclose all or part of any personal data it retains and the record on the third-party provision in cases where disclosure could, for example, (a) potentially harm the applicant’s life, body, property or other rights or interests, or those of a third party; (b) potentially and significantly impede the proper conduct of JSDA’s operations; (c) constitute a violation of laws and regulations.
(5)
JSDA uses personal information acquired as part of these procedures relating to disclosure, etc. within the scope necessary for the Procedure for Disclosure, etc., including confirming the applicant’s and his/her agent’s identity, verifying the information on the retained personal data and the record on the third-party provision, and contacting the applicant or his/her agent. Note that the application form and identity confirmation document(s) will not be returned. (JSDA shreds all documents, etc. provided and delete the data after a certain period.)

[Point of Contact]

(1)   For requesting disclosure of “Qualifications Obtained in Examinations for Sales Representatives, etc.”
(2)   For requesting disclosure of “Disciplinary Action Against a Sales Representative” (including incident reports received), etc.

 [Point of Contact]  General Administration Division, Japan Securities Dealers Association
Address  2-11-2, Nihombashi, Chuo-ku, Tokyo 103-0027 JAPAN
Tel.  +81-3-6665-6764
Operating Hours  9am to 5pm
(closed from December 31 through January 3, weekends and holidays)
Designated online form  Please submit the application form for disclosure, etc. here.

 

● In the section of “Attachment file”, please be sure to attach both two documents: (a) the application form described in “2. Application Forms” above, and (b) identity confirmation document(s).

In case you attach the files of (a) and (b) separately, please attach a file to the “Attachment file 1” first. The section of “Attachment file 2” will be automatically displayed when you upload the file in the “Attachment file 1”.

  (3)   For other requests than above (1) and (2)

 [Point of Contact]  General Administration Division, Japan Securities Dealers Association
Address  2-11-2, Nihombashi, Chuo-ku, Tokyo 103-0027 JAPAN
Tel.  +81-3-6665-6764
Operating Hours  9am to 5pm
(closed from December 31 through January 3, weekends and holidays)
Designated online form  Please submit the application form for disclosure, etc. here.

 

In the section of “Attachment file”, please be sure to attach both two documents: (a) the application form described in “2. Application Forms” above, and (b) identity confirmation document(s).

In case you attach the files of (a) and (b) separately, please attach a file to the “Attachment file 1” first. The section of “Attachment file 2” will be automatically displayed when you upload the file in the “Attachment file 1”.

*1: The standard processing duration, the time required from the time the application arrives at JSDA to the time it is processed, is, in general, seven days. Please note, however, that the actual processing time may exceed this period depending on the contents of the request and the state of congestion, etc. In addition, please note that the following periods are not, in principle, included in the processing time.

  (1)   Time required to make corrections for the request,
  (2)   JSDA non-business days,
  (3)   Period required for the applicant to change the contents of the request during the application process, and
  (4)   Period required to add necessary data to the application for processing.

*2: Note when submitting an application form for disclosure, etc. via the designated online form
Depending on the applicant's system settings, it may take some time for the information to reach JSDA or it may not be delivered. In addition, JSDA may not be able to receive such requests due to viruses in the content sent by the applicant. If you are in a hurry or have not received a response for more than 8 days after submitting your request, we recommend that you call us at the [Point of Contact] during our office hours to inquire whether or not your request has been received.