The procedures described below apply to individuals living outside Japan who wish to request disclosure, correction, deletion, or suspension of use, etc. of their personal data retained by CMAEC.
If you live in Japan, please refer to the procedures here (transfers to the relevant Japanese-language web page).
1. Point of Contact for Requesting Disclosure, Correction, Deletion, or Suspension of Use, etc. (Hereinafter, Referred to as “Disclosure, etc.”) of Retained Personal Data.
The point of contact for requesting disclosure, etc. of personal data retained by CMAEC is as detailed below; all requests must be made by post. This is the only point of contact available to handle requests for disclosure, etc. For details of procedures to request disclosure, etc., please refer to item 3 below.
[Point of Contact]
General Administration Division, Japan Securities Dealers Association
Address: 2-11-2, Nihombashi, Chuo-ku, Tokyo 103-0027 JAPAN
2. Process for Requesting Disclosure, etc.
Complete your application form
Please refer to item 3 “Procedures Concerning Requests for Disclosure, etc.” below and complete an application form for disclosure, etc.
Post your application form
Please refer to item 3 “Procedures Concerning Requests for Disclosure, etc.” below and post your application form to the CMAEC’s point of contact detailed under item 1 above, enclosing the required documentation listed under item 4 below.
CMAEC confirms your identity, etc.
CMAEC promptly confirms your identity to verify that the personal data is yours and reconciles the details in your application form with the personal data it retains.
CMAEC prepares and posts its reply
CMAEC promptly posts you a written reply based on the above identity confirmation and reconciliation of details with the personal data it retains.
3. Procedures Concerning Requests for Disclosure, etc.
To request disclosure, etc., please read section 5 “Points to Note” below, then download the appropriate application form from among those listed in (1) to (3) under item 6 below and complete the necessary sections. Please post your form to the CMAEC’s point of contact (the General Administration Division) as detailed under item 1 above, enclosing your identity confirmation documents and a return envelope bearing your name and address.
4. Documents Required for Requests
- The appropriate application form from among those listed in (1) to (3) under item 6 “Application Forms” below (please download)
- Identity confirmation document(s) (any one option from i to iii below)
- Copy of driver’s license showing address
- Copy of passport and copy of residence certificate
- Copy of health insurance card and copy of residence certificate
- A return envelope bearing your name and address
[Request by an Agent]
If an agent makes a request on your behalf, the documents listed in (1) to (3) above must be supplemented by the documents below.
- A letter granting power of attorney (signed by you)
- One of the documents listed in (2) above to confirm the identity of the agent
- An official document corroborating your signature in (4) above
5. Points to Note
- CMAEC may be unable to accept a request for disclosure, etc. if the application form, identity confirmation document(s) and other documents described in item 4 above are not provided in full. In this case, or if the document of disclosure sent by CMAEC is returned by the post office, after the passage of a certain period of time CMAEC shreds all documents except for application forms to prevent information leakage.
- If a request is made by an agent, CMAEC will proceed with disclosure, etc. only if it can confirm that the agent is duly authorized by you. CMAEC may contact you to confirm that the agent is authorized to act on your behalf.
- Please be aware that it may take some time for CMAEC to reply to an application for disclosure, etc. due to the procedures required to reconcile details with the personal data it retains and to confirm identity.
- CMAEC reserves the right not to disclose all or part of any personal data it retains in cases where disclosure could, for example, (a) potentially harm your life, body, property or other rights and interests, or those of a third party; (b) significantly impede the proper conduct of CMAEC’s operations; or (c) constitute a violation of laws and regulations.
- Disclosure, etc. is made in writing, and in order to prevent personal information from being divulged to a third party, related correspondence will be addressed to you and posted to your address. If an agent is entrusted by you to make an application on your behalf, correspondence will be addressed either to you or to your agent.
- CMAEC uses personal information acquired as part of these procedures relating to disclosure, etc. within the scope necessary for the procedures, including for confirmation of identity, for reconciliation of details with the personal data it retains, and for corresponding with you or the person who made the application (including any agent). Note that application forms will not be returned.
6. Application Forms
Please download the appropriate application form from among those listed in (1) to (3) below and read items 1 to 5 above before completing the application form.
Does your request for personal data retained by CMAEC relate to:
(1) 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.)
(2) 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.)
(3) Disclosure of personal data not included in (1) or (2) above?
- Application Form for Disclosure, Correction, Deletion, or Suspension of Use, etc. of Personal Data Retained by CMAEC
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