CMAEC’s Privacy Policy

The Japan Securities Dealers Association (hereinafter referred to as ‘CMAEC’) is aware of CMAEC’s social responsibility to properly handle personal information and anonymously processed information (hereinafter collectively referred to as ‘Personal information, etc.’), has prescribed the following Privacy Policy (hereinafter referred to as ‘the Privacy Policy’), and does its utmost to ensure the protection of personal information, etc. in the course of achieving CMAEC’s business objectives.

1. Compliance with Applicable Laws and Regulations

CMAEC complies with applicable laws and regulations such as the ‘Act on the Protection of Personal Information’, and does its utmost to protect personal information, etc.

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2. Purpose for Using Personal Information

In addition to the cases provided by laws and regulations, CMAEC handles personal information within 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 CMAEC’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, etc.

  1. CMAEC acquires personal information, etc. via appropriate means and within the scope necessary for achieving the aforementioned purposes of use.
  2. CMAEC endeavors to publicize the purpose of use in advance, and in the case this purpose is unpublished, CMAEC shall notify the person or publicize the purpose of use promptly after the acquisition of personal information.

4. Prohibition on the Acquisition, etc. of Sensitive Information

CMAEC does not acquire, use or provide to third parties sensitive information except in certain cases such as those provided for by laws and regulations, etc.

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5. Provision of Personal Data to a Third Party

CMAEC does not provide personal data 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 Data

There are cases where CMAEC jointly uses personal data with specified persons within the scope of the purpose of use. In the case of joint use, the personal data is handled in compliance with the applicable laws and regulations, etc.

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7. Safety Control Measures for Personal Information, etc.

CMAEC 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, etc.

8. Supervision of Executive Officers, Employees, and Entrusted Parties

CMAEC ensures that CMAEC’s executive officers and employees recognize the importance of protecting personal information and conducts the necessary and appropriate supervision to verify that personal information, etc. is safely managed.
In addition, where CMAEC outsources the handling of personal information, etc., CMAEC 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

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

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10. Handling of Individual Number and Specific Personal Information

CMAEC 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, CMAEC does not provide individual number or specified personal information to third parties.

11. Provision of Anonymously Processed Information

CMAEC complies with related laws and regulations, etc. when CMAEC provides anonymously processed information to a third party.

12. Framework, etc. for Protecting Personal Information, etc.

CMAEC establishes a framework for protecting personal information including setting up a control division and assigning a responsible person in every division, sets rules with which executive officers and employees comply, and conducts appropriate training and capacity building activities for them. In addition, CMAEC reviews its operation for the handling of personal information, etc. and endeavors to improve continuously.

13. Responding to Enquiries

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

Contact Details for Enquiries:
Japan Securities Dealers Association
2-11-2, Nihombashi, Chuo-ku,
Tokyo 103-0027 JAPAN
Tel: +81-3-6665-6764
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: May 30, 2017

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