Handling of Personal Information

Introduction

With the rapid developments of the Internet and IT technology, protection of personal information is becoming increasingly important. Japan Exchange Group, Inc., Tokyo Stock Exchange, Inc., Osaka Exchange, Inc., and Japan Exchange Regulation (hereinafter collectively referred to as "JPX group") believe it is our social responsibility to protect personal information obtained over the course of business activities. This page will introduce JPX group's privacy policy, primary uses of personal information, and inquiry methods regarding JPX group's handing of personal information.

Privacy Policy

Information regarding JPX group's privacy policy is available from the following link.

Privacy Policy

Primary Personal Information Obtained by JPX Group

JPX group may ask for personal information (information by which a user could be identified, including any one or more of the following: name, age, birth date, telephone number, email address, postal address, place of work) for the use of services provided by JPX group or in order to smoothly conduct operations related to maintaining fair price formation and smooth circulation of financial instruments on the exchange market operated by Tokyo Stock Exchange, Inc. and Osaka Exchange, Inc. for investor protection (hereinafter "self-regulatory operations"(*)). Specific examples include the following cases.
(*) "Self-regulatory operations" include, but are not limited to, the self-regulation related services prescribed in Article 84, Paragraph 2 of the Financial Instruments and Exchange Act.

Examples of Matters for which Personal Information is Required in relation to the Services provided by JPX Group

(the purpose of the information is indicated in parenthesis)

  • Registration for mail magazines distributed by JPX group (for delivery of the mail magazine)
  • Answers to JPX group surveys (for analysis of results to provide better services)
  • Application/Participation in contests, promotions, or other events (for sending of informational materials, and notices regarding future events)
  • Orders for published materials, digital contents, or other services provided by JPX group (for delivery of ordered materials)
  • Application to participate in seminars, training, etc. (for sending of informational materials, and notices regarding future events)
  • Contact with unlisted companies by JPX group for the solicitation and consultation for new listing, etc. (for promotion activity for new listing on the stock market)
  • Sending public comments, etc. to JPX group (for replying to public comments, etc.)
  • Application for entrance/usage of JPX group facilities (for management of safety of JPX group/users)

Acquisition of Personal Information and Usage Purpose in Performing Self-Regulatory Operations

In order to perform the self-regulatory operations required by the Financial Instruments and Exchange Act, Tokyo Stock Exchange, Inc., Osaka Exchange, Inc. and Japan Exchange Regulation prescribed its Articles of Incorporation and other regulations pursuant to such Act, acquires required personal information from trading participants, listed companies, etc., and uses such information to perform self-regulatory operations. Additionally, Japan Exchange Regulation has been entrusted with part of the self-regulatory operations related to Tokyo Stock Exchange, Inc. and Osaka Exchange, Inc..
The primary self-regulatory operations are as follows.

  • Market surveillance to ensure the fairness of securities trading in the financial instrument exchange market
  • Operations related to supervision of positions in the derivatives market
  • Inspections related to the conditions of sales, business, or assets, or compliance with laws and regulations of trading participants
  • Operations related to supervision of trading participants, such as examinations of trading participant financial conditions
  • Operations related to listing of securities, such as listing examination for stocks
  • Operations related to supervision of listed securities, such as designation/transfer of listed market or delisting
  • Operations related to ensuring listed company timely disclosure

Other Examples of Acquiring Personal Information

In order to prevent crime and ensure proper operations, images from security cameras and audio from phone calls may be saved.
Moreover, in order to smoothly manage the services which this website provides, the information concerning the browsing of this website, an Internet domain name, an IP address, the query information on the website search, etc. is collected automatically by JPX group.

Method of Acquiring Personal Information

Personal information may be acquired through the following means as required to fulfill the purpose indicated in "Primary Personal Information Acquired by JPX group".

  • Direct filling out and submission by users of surveys and participation applications for seminars/training conducted by JPX group
  • Direct input of data for registration, etc. for mail magazines distributed by JPX group

Furthermore, regarding the use of personal information for sending direct mail, etc., the use of personal information for such purpose will be halted without delay at the request of the user.

Shared Use of Personal Information

JPX group may share acquired personal information in accordance with the purpose for which it was acquired in order to conduct collaborative supervision and execution of operations.

Areas of Personal Information which may be shared and Purpose of Use

The areas and purpose of use indicated in "Primary Personal Information Acquired by JPX group" may be shared.

Scope of Shared-Use Entities

Entities with which personal information may be shared shall be Japan Exchange Group, Inc., Tokyo Stock Exchange, Inc., Osaka Exchange, Inc., and Japan Exchange Regulation.

Entity Responsible for Supervising Shared Personal Information

Japan Exchange Group, Inc. shall supervise the handling of personal information within JPX group.

Entrustment of Personal Information Handling

JPX group shall entrust handling of personal information in whole or in part to an outside party in cases such as those below, as required to fulfill the purpose of use stated in "Primary Personal Information Obtained by JPX group."

  • Operations related to sending of documents to the User, such as invitations and printed materials
  • Operations related to information systems operations/maintenance

Contact for Questions, Disclosure, etc. related to Personal Information possessed by JPX Group

Questions or complaints regarding the personal information JPX group handles, and notices, disclosures, corrections, or requests for the halt of use (hereinafter "disclosure requests, etc.") received will be sincerely dealt with as quickly as possible.
Additionally, please utilize the contact details regarding questions, complaints, disclosure requests, etc. in relation to personal information which are specified at the time of acquisition of such information.

In cases of Questions or Complaints

Please use the form below for questions regarding personal information handled by JPX group, inquiries, JPX group's privacy policy, and overall measures for secure management related to protection of personal information.

Inquiries and Questions

In cases of Purpose of Use Notice, Disclosure Requests, etc.

Please send requests by post to the address below using the following forms. However, in order to prevent leaks of personal information to 3rd parties, response will only be taken in cases where JPX group can confirm the identity of the applicant.
Furthermore, please be aware that no responses can be given regarding purpose of use notices, disclosure requests, etc. for personal information related to self-regulatory operations pursuant to the provisions of Article 18, Paragraph 4 and Article 25 of the Act on the Protection of Personal Information (April 2005). (In cases where such a request is received, the reason a response is not possible will be sent in writing.)

Application for Disclosure of Personal Information, Purpose of Use Notice (123KB)
Request for Correction, Deletion of Personal Information (121KB)
Request for Halt of Personal Information Use (122KB)

Other Notes

  • JPX group assumes no responsibility or liability for security of personal information on other websites linked on the JPX group website.
  • JPX group takes the utmost care in the protection of information of minors. The information of minors should only be provided with the consent of a guardian.
  • Questions regarding the contents of this page may be submitted via the "Inquiries and Questions" form. Additionally, personal information of users who submit queries will be protected via SSL encryption. Please be aware that this page may not be accessible from company networks due to Firewalls settings, etc.

(Reference) Cookies

Cookies are small amounts of data sent to user browsers from web-servers for effective operations on the Internet. JPX group utilizes cookies to customize the website, and improve contents and services in accordance with the needs of each user.
It is possible to refuse acceptance of cookies or issue warnings upon their receipt via browser settings. However, restrictions, such as a loss of personalization functions, may occur in such cases.

Contact regarding this Page / Address for Disclosure Requests, etc.

Japan Exchange Group, Inc.
Personal Information Protection Desk (IT Planning Dept.)

Address: 2-1 Kabutocho Nihombashi, Chuo-ku, Tokyo 103-0026 Japan
TEL: +81-3-3666-1361

* Inquiries regarding personal information obtained by Tokyo Stock Exchange, Inc., Osaka Exchange, Inc. or Japan Exchange Regulation should be directed to the contact above.

DISCLAIMER: This translation may be used only for reference purposes. This English version is not an official translation of the original Japanese document (including tables for comparison of new and old rules and regulations; hereinafter the same). In cases where any differences occur between the English version and the original Japanese version, the Japanese version shall prevail. Japan Exchange Group, Inc., Tokyo Stock Exchange, Inc., Osaka Exchange, Inc. and/or Japan Exchange Regulation shall individually or jointly accept no responsibility or liability for damage or loss caused by any error, inaccuracy, or misunderstanding with regard to this translation.

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