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Personal Information Protection

Policy on Personal Information Protection

Adopted:April 1, 2005

Revised:July 24, 2015

Revised: November 2, 2015

Revised: May 30, 2017

Japan Securities Depository Center Inc. (“JASDEC”) fully recognizes the importance of personal information protection, and given JASDEC's high public profile as a pillar of the securities settlement infrastructure has established a personal information protection policy to ensure high levels of public welfare and reliability. The Personal Information Protection Policy is as follows:

1. Acquisition of personal information
JASDEC shall acquire personal information in an appropriate manner.
2. Publication, etc. of the purpose of use of personal information
JASDEC shall specify the purpose of use of personal information, and announce or publicize the purpose of use unless otherwise specified in laws. Please refer to “Handling of Personal Information” for the purpose of use of personal information obtained through the business of JASDEC.
3. Use of personal information

(1)Use of personal information (except for Individual Number)
JASDEC shall handle personal information (except for Individual Number) only to the extent necessary to achieve the purpose of use.
(2)Use of Individual Number
JASDEC shall handle Individual Number only to the extent specified in laws and necessary to achieve the purpose of use.

4. Assurance of the correctness of personal information
JASDEC shall endeavor to keep personal information correct and update only to the extent necessary to achieve the purpose of use.
5. Supervision, education and training of officers and employees
JASDEC shall exercise necessary and proper supervision over the officers and employees of JASDEC for the purpose of the secure management of personal information. JASDEC shall also make this Policy and JASDEC's security control measures for the protection of personal information fully known to the officers and employees of JASDEC without exception, conduct proper education and training, and strive to enhance the awareness of the protection of personal information.
6. Protection of the security of personal information
JASDEC shall implement proper and continuous security control measures to prevent the leakage, loss, damage or alteration, etc. of personal information.
7. Provision of personal information to a third party

(1)Provision of personal information (except for specific personal information) to a third party

JASDEC shall neither provide nor divulge personal information (except for specific personal information) to any third party if not approved by the person identified by the information unless otherwise specified in laws. When personal information is provided to a third party based on the approval of the person, JASDEC shall deal with it in conformity with laws.

(2) Provision of Individual Number and specific personal information to a third party

JASDEC shall neither provide nor divulge Individual Number and specific personal information to any third party regardless of approval from the person identified by the information unless otherwise specified in laws.

8. Joint use of personal information

(1)Joint use of personal information (except for specific personal information)

JASDEC may use personal information (except for specific personal information) jointly with a third party only to the extent necessary to achieve the purpose of use. In the event of joint use, JASDEC shall conform to laws.

(2) Joint use of Individual Number and specific personal information

JASDEC shall never use Individual Number and specific personal information jointly with a third party.

9. Supervision of outsourced parties
JASDEC may outsource the handling of personal information to outside parties only to the extent necessary to achieve the purpose of use. In this event, JASDEC shall properly supervise outsourced parties to ensure that the handling of outsourced personal information is based on JASDEC's security control measures for the protection of personal information.
10. Disclosure, etc. of personal information
JASDEC shall respond to a request from the concerned person for the disclosure, correction or the suspension of use, etc. of personal information unless otherwise specified in laws. Please refer to the “Handling of Personal Information” for the specific procedure for such requests.
11. Response to inquiries
JASDEC shall respond to inquiries, opinions and complaints about the handling of personal information in JASDEC promptly and with integrity. Please refer to the “Handling of Personal Information” for specific procedures for inquiries.
12. Framework of personal information protection
The President and CEO shall serve as the chief executive responsible for the handling of personal information by JASDEC. JASDEC will assign a person to be responsible for the control of personal information in each department which handles personal information. JASDEC shall continuously review and revise internal systems for the protection of personal information and make efforts to improve them.
13. Observance of laws and ordinances, etc.
JASDEC shall observe laws, ordinances and other standards concerning the protection of personal information.
14. Revision of the Personal Information Protection Policy
JASDEC may revise this Policy due to changes in societal circumstances or the amendment of relevant laws and ordinances.

Handling of Personal Information

Adopted:April 1, 2005

Revised:January 5, 2009

Revised:July 24, 2015

Revised:November 2, 2015

Revised:May 30, 2017

In this section, based on the “Personal Information Protection Policy” established by Japan Securities Depository Center Inc. (“JASDEC”), JASDEC explains the details and the purpose of use of personal information to be acquired by JASDEC and the procedure for inquiries about personal information handled by JASDEC.

1. Details of personal information to be acquired by JASDEC
Personal information to be acquired by JASDEC will include information such as name, address, telephone number, e-mail address, date of birth, sex and occupation.
2. Purpose of use of personal information to be acquired by JASDEC
Personal information to be acquired through the business of JASDEC shall be used only for the following purposes:

(1)Personal information (except for Individual Number)

a. For the smooth conduct of business approved by the competent minister based on the Law concerning Book-Entry Transfer of Bonds and Stocks, etc.
b. For business communication with related companies such as JASDEC participants.
c. For the conduct of market surveys and market research through the use of questionnaire surveys.
d. For correspondence to persons who applied to attend briefing sessions, etc. sponsored by JASDEC.
e. For the confirmation of the identification of the concerned person or his or her proxy.
f. For response to feedback or inquiries about JASDEC.

(2) Individual Number

a. For the provision of Individual Number to prepare and submit records set down in law by the issuers, etc. for eligible products of Book-entry Transfer System for stocks, etc.
b. For the preparation and submission of records set down in law for eligible products of Custody services for foreign stock certificates, etc.
c. For the preparation and submission of payment record of compensation, etc.

3. Inquiries about personal information handled by JASDEC
Any inquiry about personal information handled by JASDEC, the Personal Information Protection Policy of JASDEC and overall handling of the protection of personal information by JASDEC should be made to the office in charge of personal information.

Any request for the disclosure, correction or the suspension of use, etc. of personal information handled by JASDEC should be made using the form prescribed by JASDEC. JASDEC will send the form by mail or via e-mail. Please forward the request to the office in charge of personal information. To prevent the leakage of personal information, JASDEC will only make disclosure or correction or suspend use as requested when JASDEC is able to confirm the identification of a person making such a request.


In Charge of Personal Information:

Risk Management Department

Daini-Shoken Kaikan Bldg., 1-1 Nihonbashi-Kayaba-cho, 2-chome, Chuo-ku, Tokyo 103-0025, Japan

Tel .+81-3-3661-0164

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