Handling of Personal Information

Japan Exchange Group, Inc., Tokyo Stock Exchange, Inc., Osaka Exchange, Inc. and Japan Exchange Regulation (hereinafter collectively referred to as the "JPX group") believes that it is our social responsibility to protect personal information obtained over the course of performing business activities, and has drawn up this privacy policy as a guideline for protection of the personal information in our possession.

1. Obtaining Personal Information

The JPX group will obtain personal information using only fair and legal methods.

2. Publicity of Personal Information Usage Purposes, Etc.

When personal information is obtained by the JPX group, the purposes of usage will be specified, and these purposes will be published, notified, or explicitly stated. Additionally, the JPX group will set forth the specific purposes of usage in order to make such purposes clear to an individual or a party as well as make efforts towards limiting these purposes accordingly when obtaining personal information.

3. Usage of Personal Information

The JPX group will only use personal information within the boundaries necessary for achieving its usage purposes. If the usage purposes originally specified are changed due to some significant reason, the JPX group will complete the necessary procedures in accordance with the personal information protection law, etc. However, sensitive information that is acquired over the course of business will not be used for any purpose other than those originally specified.

4. Provision of Personal Information to a Third Party

The JPX group will not provide personal information to a third party without prior consent. When providing such information to a third party, the JPX group will complete the necessary procedures in accordance with the personal information protection law, etc.

5. Joint Use of Personal Information

There are some instances in which the JPX group uses personal information jointly with a third party within the boundaries of usage purposes. When information is used jointly, the JPX group will act in accordance with the personal information protection law, etc.

6. Acquisition and Use of Personal Information over the Course of Self-Regulatory Operations

Under the Financial Instruments and Exchange Law, Tokyo Stock Exchange, Inc. and Osaka Exchange, Inc. is defined as a "self-regulatory institution." The JPX has drawn up its articles of incorporation and other rules and regulations based on this Law, and requires parties such as trading participants and issuers of listed securities to submit or disclose necessary reports or materials that contain items considered personal information. The JPX requires this submission or disclosure in order to perform the operations required by the Financial Instruments and Exchange Law for ensuring fair price formation and smooth circulation in the exchange securities market, as well as protecting investors (hereinafter referred to as the "self-regulatory operations"*1). Moreover, Japan Exchange Regulation is conducting self-regulatory operations which have been partially entrusted by the JPX. With respect to these self-regulatory operations, notwithstanding the provisions of Rule 2 above, usage purposes are not published, notified, or explicitly stated in these cases. The JPX will only use personal information obtained over the course of the self-regulatory operations within the boundaries of the relevant self-regulation purpose. In cases in which another self-regulatory institution (including financial instruments exchanges, financial instruments traders associations, and organizations in foreign countries corresponding to these) makes a request for information, notwithstanding the provisions of Rule 4 above, the JPX may provide the information to the relevant institution when the JPX deems that complying with the request is suitable.

  • "Self-regulatory operations" include, but are not limited to, self-regulatory operations provided by Paragraph 2, Article 84 of the Financial Instruments and Exchange Law.

7. Protection and Security of Personal Information

When using personal information within the boundaries necessary to achieve usage purposes, the JPX group makes efforts to ensure that the information is accurate and up to date. The JPX group takes appropriate and continuous steps in security management to prevent leakage, loss, or corruption of personal information.

8. Supervision of Personnel and Consignees

The JPX group conducts necessary and appropriate supervision of our personnel in order to manage the security of personal information. Also, when the JPX group consigns the handling of personal information to a third party, we will carefully select the third party consignee and conduct necessary and appropriate supervision of this party so that the security of personal information is appropriately managed.

9. Disclosure of Personal Information, Etc.

When an individual or a party whom the individual has entrusted makes a request though a method that the JPX group sets forth for notification or disclosure of usage purposes, correction, or suspension of usage or provision of personal information that the JPX group possesses, the JPX group will respond faithfully to the request as specified by laws and regulations. Please refer to "Personal Information Usage at the JPX Group" for specific request methods.

10. Inquiry Response

The JPX group maintains methods for responding to complaints and questions regarding the handling of personal information, working to ensure a speedy and earnest response. Please refer to "Personal Information Usage at the JPX Group" for specific inquiry methods.

11. Organizational Structure for Personal Information Protection

The President and CEO of Japan Exchange Group, Inc. serves as the person with the highest responsibility regarding protection of personal information. The JPX group conducts appropriate personal information management through the division for personal information protection and by assigning personnel responsible for managing personal information to each department that handles such.

12. Enactment of Personal Information Protection Regulations

The JPX group will draw up personal information protection regulations, etc. in order to implement this privacy policy, and will conduct thorough notification of the JPX group's executives and employees of both the privacy policy and regulations. Moreover, the JPX group will periodically inspect the status of these efforts, and implement improvement measures as required.

13. Education and Training

In an effort to appropriately manage personal information, the JPX group has drawn up plans for education and training for executives and employees of the JPX group with regards to the privacy policy and personal information protection regulations, and conducts this education and training as needed. The JPX group will periodically inspect the status of these efforts, and implement improvement measures as required.

14. Compliance with Laws and Regulations

In striving to protect personal information, the JPX group will adhere to the personal information protection law and other laws and regulations, as well as financial industry guidelines regarding the protection of personal information.

15. Continuous improvement of the Privacy Policy

In order to protect personal information, the JPX group will review and improve this Privacy Policy on a continuous basis, in the light of changes to social conventions regarding personal information, advancement of information technology, and other factors.

Enacted on January 1, 2013
Last Revised on April 1, 2014

Akira Kiyota
Director & Representative Executive Officer, Group CEO
Japan Exchange Group, Inc.

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.