Adopted: April 1, 2005
Revised: July 24, 2015
Revised: November 2, 2015
Revised: May 30, 2017
Revised: April 1, 2022
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) 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.
(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.
(3) Provision of personally referable information to a third party
JASDEC shall neither provide nor disclose personally referable information by which the person can be identified in the location where such information is provided to any third party without the consent of the person identified by the information unless otherwise specified in laws. When personally referable information is provided to a third party based on the approval of the person, JASDEC shall deal with it in conformity with laws.
(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.
Adopted: April 1, 2005
Revised: January 5, 2009
Revised: July 24, 2015
Revised: November 2, 2015
Revised: May 30, 2017
Revised: February 5, 2019
Revised: April 1, 2020
Revised: April 1, 2022
In this section, based on the "Policy on Personal Information Protection" 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) Personal information (except for the following (2) and (3))
a. For the smooth conduct of business approved by the competent minister based on the Act on 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 and personal information containing the Individual Number (except for the following (3))
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 management of Participant Information (the name and address, etc. of the participant) under Book-entry Transfer System for stocks, etc. in a state such that it can be retrieved by the Individual Number of said participant.
c. For the preparation and submission of records set down in law for eligible products of Custody services for foreign stock certificates, etc.
d. For the preparation and submission of payment record of compensation, etc.
(3) Online Identifier
a. For security purposes on JASDEC Website.
(1) Formulation of the basic policy
a. Formulating the basic policy about compliance with related laws, guidelines, etc., and contact point for inquiries and complaint processing, etc. for ensuring the proper handling of personal data.
(2) Establishment of discipline about handling of personal data
a. Establishing the handling rules of personal data including the handling method, the responsible party in charge, and their duty, etc. at each stage of acquisition, use, retention, provision, deletion and disposal, etc.
(3) Institutional security control measures
a. Appointing a person responsible for handling of personal data, clarifying employees handling personal data and the range of personal data handled by such employees, and developing a system for reporting to and communicating with a person responsible in case the fact or the sign is found that the laws or handling rules are violated.
b. Recording of the handling of personal data
c. Implementing regular self-inspections and internal and external audits of the handling status of personal data
(4) Human security control measures
a. Implementing regular training for the employees about consideration when personal data is handled.
b. Describing the matters about confidentiality of personal data in rules of employment
(5) Physical security control measures
a. Deleting or disposing of personal data in irretrievable ways
b. Reserving personal data of individual investors domestically in Japan
(6) Technological security control measures
a. Limiting persons handling personal data and the range of handling personal information database etc. handled by such persons through implementing access control
Any inquiry about personal information handled by JASDEC, the Policy on Personal Information Protection 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:
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