Nissan Securities Co., Ltd. (the “Company”) establishes and discloses the following manifestation
regarding protection of personal information as a policy toward personal information and individual
number of customers (“Personal Information etc.”).
The Company complies with the relevant laws and regulations regarding the protection of
Personal Information etc., the guidelines of the relevant ministries and agencies, the guidelines of
the accredited personal information protection organizations, and this manifestation.
The Company handles Personal Information etc. of customers to the extent necessary to achieve the purpose of use except when customers agree and when it should be handled as exceptions according to laws and regulations etc. The Company handles individual number to the extent specified by laws and regulations. Purpose of use regarding Personal Information etc. will be displayed in the headquarters and branches of the Company and posted on the website of the Company.
The Company will keep Personal Information etc. of customers updated and accurate. In addition, the Company will manage with a necessary and appropriate security measure so that leakage or the like regarding Personal Information etc. of customers may not occur and will implement appropriate supervisions for employees and entrusted companies.
(Formulation of Basic Policy)
- ・The Company will formulate basic policies for compliance with relevant laws and
regulations and guidelines, etc. and contact for an inquiry and complaints, etc. to ensure the
appropriate handling of personal data.
(Establishment of Rules Pertaining to the Handling of Personal Data)
- ・The Company will formulate regulations for the handling of personal data regarding the
handling method, the persons responsible or persons in charge, and their duties, etc. for each
stage of acquisition and input, use and edit, storage and saving, transfer and transmission,
deletion and disposal.
(Organizational Security Measures)
- ・The Company will appoint a person responsible for the handling of personal data for each
department. Together with this, the Company will clarify the employees who handle personal
data and the range of personal data handled by said employees. The Company will establish
a structure to contact the person responsible if facts or signs are uncovered that laws and
handling regulations have been violated.
- ・The Company will conduct self-inspection and internal inspection regarding the state of
personal data handling periodically.
(Personal Security Measures)
- ・The Company will implement periodic training to employees regarding points of concern
about handling of personal data.
- ・The Company will prescribe confidentiality requirements for personal data in rules of
employment.
(Physical Security Measures)
- ・The Company will take measures to prevent theft or loss of devises, electronic media, and
documents etc. that handle personal data and to ensure that personal data is not easily
revealed when such devices and electronic media etc. are carried, including within the office
of the Company.
(Technical Security Measures)
- ・The Company will implement access controls and limit person in charge and the range of
database that handle personal information etc.
- ・The Company will introduce a structure to protect the information systems that handle
personal data from unauthorized access or software from outside.
(Understanding of the External Environment)
- ・If personal data is stored in a foreign country, the Company will take security measures upon
understanding the systems relating to the protection of personal information in that country.
4. Continuous Improvement
The Company will continue to review and improve this manifestation in order to handle Personal
Information etc. of customers appropriately.
5. Procedures of Request regarding Disclosure etc.
The Company will endeavor to respond appropriately and promptly after confirming the identification of customers when there is a request from customers for disclosure, correction, discontinuation of use, and disclosure, etc. of record of provision to third parties regarding retained personal data of customers. In cases where there is a request for disclosure about if the Company retains individual numbers, the Company responds accordingly.
6. Procedures of Request regarding Providing Information pertaining to Provision of
Customers’ Personal Data to Third Parties in Foreign Countries
If the Company provides personal data of customers to a third party in a foreign country and if it
is possible to identify the third party afterwards, the customers may request the Company to
provide information of the name of the said country, the system relating to the protection of the
personal information in the said country, and the measures taken by the said third party to protect
personal information.
If the Company provides personal data to a party that has established a structure conforming to the standards necessary for continuously implementing the measures equivalent to the measures that should be taken by a personal information handling operator regarding the handling of personal data (hereinafter referred to as “Appropriate Measures”), the Company is not required to obtain consent from customers. Provided, however, the customers may ask the Company to provide the following information.
- i. How to establish the system in the third party
- ii. The overview of the Appropriate Measures implemented by the third party
- iii. The methods and frequencies for the Company to check the status of Appropriate Measures implemented by the third party and presence/absence of the system and the details that has possibility to affect the implementation of the Appropriate Measures
- iv. The name of the foreign country
- v. Presence/absence of the system in the foreign country and the overview that has possibility to affect the implementation of the Appropriate Measures by the third party
- vi. Presence/absence of obstacles and the overview relating to the implementation of the Appropriate Measures by the third party
- vii. The overview of the measures taken by the Company in case where the obstacles in vi occur
7. Inquiries, Requests, and Complaints, etc.
The Company will endeavor to respond sincerely and promptly to inquiries, requests, and
complaints from customers regarding Personal Information, etc. Inquiries, requests, and
complaints, etc. shall be directed to the headquarters and branches of the Company or the
Customer Support Desk below in writings, etc.
- Customer Support Desk | Nissan Securities Co., Ltd.
- Representative: Hideaki Futaya / Representative director and president
- Address: 6-10-1 Ginza, Chuo-ku, Tokyo, 104-0061, Japan
- Tel: 81-3-4216-1265
- Email: compliance@nissan-sec.co.jp
8. Accredited Personal Information Protection Organizations
The Company is a member of the Japan Securities Dealers Association and the Financial Futures
Association of Japan, both of which are the accredited personal information protection
organizations certified by the Personal Information Protection Commission. Point of contact of
the associations below accepts inquiries and complaints concerning the handling of personal
information, pseudonymized personal information and anonymized personal information etc. by
association members.
- Point of Contact for Inquiries:
Japan Securities Dealers Association (https://www.jsda.or.jp/privacy/index.html)
Personal Information Consultation Office
Tel: 81-3-6665-6784 -
- Financial Futures Association of Japan (https://www.ffaj.or.jp/privacy-association/)
Personal Information Consultation Office
Tel: 81-3-5280-0881
Ⅱ. Main Sources of Acquiring Personal Information etc. and Main Operations Entrusted to the Outside Entities
1. Main Sources of Acquiring Personal Information etc.
The Company will acquire Personal Information etc. from the following sources.
- The documents directly filled by the customers, such as account opening documents and questionnaire
- Information stated in the commercially available books such as Japan Company Handbook and Japan Director Handbook, and information disclosed in the newspapers and the Internet
- Information obtained from the customers in the course of offering services by the Company
(The Company records phone conversations with customers calling to the headquarters, branches, sales offices and reception counters of the Company.)
*The Company will not obtain, use, nor provide any sensitive information (such as personal information need care, information concerning membership of the labor unions, family origin, registered domicile, health care, etc.) defined by the Guidelines for the Protection of Personal Information in the Financial Sector and the Guidelines on the Act on the Protection of Personal Information (Volume on General Rules), excluding the case when it is permitted by laws and regulations
2. Main Operations Entrusted to the Outside Entities
The Company entrusts a part of the operations. The followings are the examples of the
operations handling Personal Information etc. which the Company entrusts to the outside
entities.
- Printing and mailing operations for customers
- Business operations concerning laws and accountings which need to offer high value-added services such as advisories
- Business operations concerning operation and management of information systems
- Entrustment of financial instruments intermediary services
- Entrustment of commodity derivatives intermediary services
- Business operations concerning maintenance of books and records
Ⅲ. The Purpose of Use of Personal Information etc.
The Company will use the Personal Information etc. to the extent necessary for the accomplishment
of the following business descriptions and purposes.
1. Business Descriptions
Financial Instruments Business, Commodity Derivatives Business, business ancillary to
Financial Instruments Business and Commodity Derivatives Business, other businesses which
the Company can operate based on Financial Instruments and Exchange Act and Commodity
Derivatives Transaction Act, and businesses ancillary to the abovementioned (including
businesses approved to be handled hereafter)
2. The Purpose of Use
- In order to solicit and sale securities and financial instruments, and introduce services of the Company based on Financial Instruments and Exchange Act (including concurrent and ancillary business which financial instruments business operators can operate)
- In order to solicit and sale commodity derivatives transactions, and introduce services of the Company based on Commodity Derivatives Transaction Act (including concurrent and ancillary business which commodity derivatives business operators can operate)
- In order to solicit and sale financial products and commodity derivatives transactions and introduce services of the Company, its affiliates, and partners
- In order to judge appropriateness of products and services the Company offers in light of the principle of suitability
- In order to confirm the identification of customers or the agents
- In order to report trading results and account balance etc. to customers
- In order to handle paperwork concerning transaction of customers
- In order to enforce rights and fulfill the obligations based on the contracts between the Company and customers, the laws and regulations etc.
- In order to develop and research financial products and services by conducting market research, data analysis, and questionnaire surveys
- In order to perform entrusted business operations appropriately in cases where all or a part of the operations concerning handling of personal information are entrusted from other entities
- In order to execute transactions with customers smoothly
- Notwithstanding the purpose of use of personal information listed in the preceding items, individual numbers are only to be used in the “account opening applications and notifications concerning financial instruments transactions and commodity derivatives transactions”, the “preparation and submission of legal documents concerning financial instruments transaction and commodity derivatives transactions”, and “preparation and submission of legal documents concerning selling bullion”.
3. In accordance with Act on the Protection of Personal Information
In accordance with Act on the Protection of Personal Information and Cabinet Office Order on
Financial Instruments Business, etc. and the like, the Company shall not use or offer to third
parties the information on race, creed, family origin, registered domicile, health care or criminal
history or other undisclosed special information for purposes other than those recognized as
necessary for the appropriate management of operations, etc.
Ⅳ. Joint Use of Personal Information etc.
The Company will use the personal data (name, address, phone number, date of birth, occupation, asset status, and items of trading records, etc.) jointly with its group companies in order to provide all-around services through its group companies within the scope of purpose of use of Personal Information etc. of customers.
Entity Responsible for Management of the Joint Use of Personal Data:
Nissan Securities Co., Ltd.
Representative: Hideaki Futaya / Representative director and president
6-10-1 Ginza, Chuo-ku, Tokyo, 104-006, Japan
The Scope of Joint Use of Personal Information, etc.:
The list of group companies of the Company that will jointly use the personal information is as follows.
- ・Nissan Securities Group Co., Ltd.
- ・NS FinTech Co., Ltd.
- ・NS Systems Co., Ltd.
- ・Nissan Securities Investment Co., Ltd.
- ・OKATO SHOJI CO., LTD.
- ・NISSAN MANAGEMENT CONSULTING., LTD
Ⅴ. Procedures concerning Disclosure, etc. of Personal Information, etc. of Customers
The Company shall disclose Personal Information, etc. of customers in the following ways.
1. Procedures concerning Disclosure, etc. of Retained Personal Data, etc.
When the disclosure, correction, etc., discontinuation of use, etc. regarding retained personal data are requested by the customer himself/herself in an application form designated by the Company, the Company shall respond appropriately in accordance with relevant laws and ordinances regarding the protection of Personal Information, etc. The prescribed processing fee (1,100 yen included tax per disclosure request. The bank charges, etc. shall be borne by customers.) will be charged for such disclosure requests. Please contact the headquarters, branches, sales offices or reception counter of the Company with regard to the designated application form or the details of the procedures.
2. Regarding Responses and the Methods of Response
When a request concerning disclosure, etc. is made in the designated application form, the Company shall respond with a disclosure method based on the customers’ request (in writing / electronic form) except for the case where disclosure, etc. is not required based on laws and regulations. With regard to a request concerning correction, addition, deletion, discontinuation of use, erasure and suspension of provision to third parties, the Company shall respond appropriately after investigating the facts. Please note that there might be cases where it takes some time for the Company to respond to your request or the Company is not able to respond to a part or all of the request for disclosure, etc.
3. The Purpose of Use of Personal Information etc. Acquired in Connection with Requests for Disclosure, etc.
Personal Information etc. acquired in connection with requests for disclosure, etc. shall be handled within the scope necessary to respond to such requests.
