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. (JPX), Tokyo Stock Exchange, Inc. (TSE), Osaka Exchange, Inc. (OSE), Tokyo Commodity Exchange, Inc. (TOCOM), Japan Exchange Regulation (JPX-R), and Japan Securities Clearing Corporation (JSCC) (hereinafter collectively referred to as "JPX Group") believe it is our social responsibility to protect personal information collected over the course of business activities. This page will introduce JPX Group's privacy policy, primary uses of personal information, and ways to inquire about JPX Group's handling of personal information.

Privacy Policy

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

Privacy Policy

Main Personal Information Collected 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 as well as to carry out JPX Group operations suitably and reliably.
"JPX Group operations" for these objectives include the following:

  • Operations related to maintaining fair price formation and smooth circulation of products on the exchange markets operated by TSE, OSE, and TOCOM as well as for investor protection (hereinafter "self-regulatory operations"). *
  • "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 and Article 5-2, Paragraph 2 of the Commodity Derivatives Transaction Act.
  • Operations related to assuming financial instrument obligations and commodity transaction obligations, carried out by JSCC as clearing organizations under the Financial Instruments and Exchange Act and Commodity Derivatives Transaction Act (hereinafter "clearing operations").

Please note that if a user does not provide relevant personal information to JPX Group, the user may lose access to members-only services or experience other difficulties.

Specific examples are described below.

Instances where Personal Information is Required in Relation to the Services Provided by JPX Group

(The objective 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 information about the event, notices regarding future events, etc.)
  • 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 information about the event, notices regarding future events, etc.)
  • Contact from JPX Group to unlisted companies for solicitation of and consultation about new listings, etc. (for promotion activity for new listings 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 managing the safety of JPX Group/users)

In addition to the above objectives, personal information provided to JPX Group may be used to provide information such as on seminars and events.

Collection and Objectives of Use of Personal Information for the Purpose of Performing Self-Regulatory Operations

In order to perform the self-regulatory operations required by the Financial Instruments and Exchange Act and the Commodity Derivatives Transaction Act, TSE, OSE, TOCOM, and JPX-R have prescribed their respective Articles of Incorporation and other rules pursuant to these Acts, collect required personal information from trading participants, listed companies, etc., and use the information to perform self-regulatory operations. Additionally, JPX-R has been entrusted with part of the self-regulatory operations related to TSE and OSE.
The main self-regulatory operations are as follows.

  • Market surveillance to ensure the fairness of securities and other trading in the exchange markets
  • 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 participants' financial condition
  • 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

Collection and Objectives of Use of Personal Information for the Purpose of Performing Clearing Operations

JSCC collect and use personal information necessary to perform clearing operations suitably and reliably.
The main clearing operations are as follows.

  • Supervision of eligibility of clearing participants in terms of their management and business execution structure, etc.
  • Supervision of clearing margin, etc. for derivatives products

Other Instances of Collecting Personal Information

In order to prevent crime and ensure proper operations, images from security cameras and audio 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 website searches, and other such information concerning browsing and other activity on this website are collected automatically by JPX Group.

Method of Collecting Personal Information

Personal information may be collected, such as through the following means, as required to fulfill the objectives indicated in "Main Personal Information Collected by JPX Group".

  • Direct filling out and submission of paper forms, such as by users of surveys and participation applications for seminars/training conducted by JPX Group
  • Direct input of data into online forms, such as to subscribe, etc. to email newsletters distributed by JPX Group

Collecting Personal Information from Outside Japan

JPX Group also conducts business activities outside Japan. Personal information collected 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.

Collecting Personal Information from Third Parties

Personal information collected by JPX Group includes, in addition to those directly provided by users, information regarding the use of services by users, and information collected from third parties, as well as publicly available information. In such cases, JPX Group will collect 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 objective without delay upon the user's request.

Shared Use of Personal Information

JPX Group may share the personal information collected within the scope of the objective it was collected for in order to jointly manage and run operations.

Personal Information Items which may be Shared and Objective of Use

The items and objective of use are indicated in "Main Personal Information Collected by JPX Group".

Scope of Shared-Use Entities

Entities which personal information may be shared with will be JPX, TSE, OSE, TOCOM, JPX-R and JSCC.

Entity Responsible for Managing Shared Personal Information

JPX will 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 cases as stated below, to fulfill the objective within the scope stated in "Main Personal Information Collected by JPX Group".

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

Personal Information Storage

JPX Group may store the collected personal information for a period necessary to fulfill the objective. Also, JPX Group may store personal information for a period necessary for compliance with laws and regulations for the JPX Group's business, dispute resolution, and related investigations.

Contact for Questions, Disclosure, etc. regarding Personal Information Collected by JPX Group

Questions or complaints regarding the personal information handled by JPX Group, and requests for notifications on objective, disclosure, correction, or cessation of use (hereinafter "disclosure requests, etc.") received will be sincerely dealt with as quickly as possible.
JPX provides contact details for questions or complaints regarding personal information when collecting such information. Please direct related questions, complaints or disclosure requests etc. to the contact provided.

Questions or Complaints

Please use the form below for questions and/or inquiries regarding personal information handled by JPX Group, questions regarding JPX Group's privacy policy and questions regarding general safety control measures related to protection of personal information by JPX Group.

Inquiries and Questions

Requests for Notification on Objective, Disclosure, etc.

Please send requests by post to the address below using the forms below. However, in order to prevent leaking of personal information to third parties, JPX Group will only respond if it is able to confirm that the applicant has made a request regarding his/her own personal information.
Furthermore, please be aware that no responses can be given to requests for notifications on objective, disclosure, etc. for personal information related to self-regulatory operations pursuant to the provisions of Article 18, Paragraph 4 and Article 28 of the Act on the Protection of Personal Information (Act No. 57 of 2003). (In cases where such a request is received, the reason why a response is not possible will be sent in writing.)

Application for Disclosure of Personal Information, Notification on Objective(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 the Protection of Personal Information. For information about the inquiry hotline for the Act on the 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 may utilize cookies to customize the website and improve contents and services in accordance with the needs of each user.
The user can 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 for 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
Phone: +81-3-3666-1361

  • Inquiries regarding personal information collected by TSE, OSE, TOCOM, JPX-R or JSCC 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. This translation is subject to change without notice. Japan Exchange Group, Inc. and/or its affiliates 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.