Handling of Personal Information

Introduction

With the rapid developments of the Internet and IT, 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 handling 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 are described below.
In cases where a user does not provide the personal information to JPX Group, the user may be inconvenienced in ways such as being unable to use members-only services provided by JPX Group.
(*) "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 use of personal information is indicated in parenthesis.)

  • Subscription to email newsletters distributed by JPX Group (for delivery of email newsletters)
  • Answers to JPX Group surveys (for analysis of results to provide better services)
  • Application for/participation in contests, promotions, or other events (for sending of informational materials, operating events, 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, operating seminars, and notices regarding future events)
  • Contact from JPX Group for solicitation and consultation for new listing, etc. (for promotion activity for newly 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)

Obtaining 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 their respective Articles of Incorporation and other regulations pursuant to the Act, obtain required personal information from trading participants, listed companies, etc., and uses the 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's 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 Obtaining Personal Information

In order to prevent crime and ensure proper operations, images from security cameras and audios from phone calls may be stored.
Moreover, in order to smoothly manage the services which this website provides, Internet domain names, IP addresses, query information in the website searches, and such information concerning browsing and other activity on this website, are collected automatically by JPX Group.

Method of Obtaining 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

Obtaining Personal Information from Outside Japan

JPX Group also conducts business activities outside Japan. Personal information obtained in the course of business activities outside Japan may be transferred to Japan, in order to process and store such information in Japan. In such cases, JPX Group takes necessary measures to protect personal information as required by applicable laws.

Obtaining Personal Information from Third Parties

Personal information obtained by JPX Group include, in addition to those directly provided by users, information regarding the use of services by users, and information obtained from third parties, as well as publicly available information. In such cases, JPX Group will obtain information on users only as needed and as permitted by applicable laws.

Furthermore, regarding the use of personal information for sending direct mail, etc., JPX Group will cease use of personal information for such purpose without delay upon the user's request.

Shared Use of Personal Information

JPX Group may share the personal information it obtained in accordance with the purpose for which it was obtained 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 are as indicated in "Primary Personal Information Obtained by JPX Group".

Scope of Shared-Use Entities

Entities among 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 Managing Shared Personal Information

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

Entrustment of Personal Information Handling

JPX Group entrusts handling of personal information in whole or in part to an outside party in such cases 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(88KB) icon-pdf
Request_to_Correct_or_Delete_Personal_Information(88KB) icon-pdf
Request_to_Cease_Use_of_Personal_Information(86KB) icon-pdf

Other Notes

  • JPX Group assumes no responsibility or liability for the security of personal information on other websites linked on the JPX website.
  • JPX Group takes utmost care in the protection of information of minors. The information of minors should only be provided with the consent of a parent or guardian.
  • Questions regarding the contents of this page may be submitted via the "Contact us" page. Personal information of users who submit inquiries will be protected via SSL encryption. Please note that firewall or other settings in your company network may prevent you from accessing the page or form.
  • If you have a complaint regarding the handling of personal information by JPX Group, the supervisory authority with which to lodge a complaint is the Personal Information Protection Commission (PPC) of Japan. The PPC has an inquiry hotline for the Act on Protection of Personal Information. For information about the inquiry hotline for the Act on Protection of Personal Information, please visit the PPC website.

(Reference) Cookies

Cookies are small amounts of data sent to user browsers from web-servers for efficient 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.
The user is able to possible to deny the use of cookies or set the browser to issue warnings upon receipt of a cookie. However, such settings may result in restrictions, such as a loss of personalization functions.

 

Contact regarding this Page / Mailing 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 . 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.