Japan Exchange Group, Inc. (JPX), Tokyo Stock Exchange, Inc. (TSE), Osaka Exchange, Inc. (OSE), Tokyo Commodity Exchange, Inc. (TOCOM) , JPX Market Innovation & Research, Inc. (JPXI), 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, and have drawn up this privacy policy as a guideline for protection of the personal information held.
1. Collecting Personal Information
JPX Group will collect personal information using only fair and legal means.
2. Making Public Personal Information Objectives 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. Use of Personal Information
JPX Group will only use personal information within the boundaries necessary for achieving its usage objectives. If the usage objectives originally specified are changed due to some significant reasons, JPX Group will complete the necessary procedures in accordance with the Act on the Protection of Personal Information, etc. However, sensitive information that is collected over the course of business will not be used for any objective other than those originally specified. Furthermore, personal information that contains the Individual Number (hereinafter referred to as "Specific Personal Information") will not be used for any objective other than those specified by law.
4. Provision of Personal Information to a Third Party
JPX Group will not provide personal information to a third party without prior consent of the relevant individual. When providing such information to a third party, JPX Group will complete the necessary procedures in accordance with the Act on the Protection of Personal Information, etc. However, Specific Personal Information will not be provided to a third party, with or without consent of the relevant individual, except as specified by law.
5. Joint Use of Personal Information
There are some instances in which JPX Group uses personal information jointly with a third party within the scope of objectives. When information is used jointly, JPX Group will act in accordance with the Act on the Protection of Personal Information, etc. However, Specific Personal Information will not be used jointly.
6. Collection and Use of Personal Information over the Course of Self-Regulatory Operations
TSE and OSE are positioned as "self-regulatory institutions" under the Financial Instruments and Exchange Act, while TOCOM is positioned as a "self-regulatory institution" under the Commodity Derivatives Transaction Act. They prescribed their respective Articles of Incorporation and other rules pursuant to these Acts and require parties such as trading participants and issuers of listed securities to submit or disclose necessary reports or materials that contain items considered personal information (not including Specific Personal Information). They require this submission or disclosure in order to perform the operations required by these Acts for ensuring fair price formation and smooth trading in the market, as well as protecting investors (hereinafter referred to as the "self-regulatory operations"*). Moreover, JPX-R is conducting self-regulatory operations which have been partially entrusted by TSE and OSE.
With respect to these self-regulatory operations, notwithstanding the provisions of paragraph 2 above, objectives are not necessarily published, notified, or explicitly stated.
Personal information (not including Specific Personal Information) collected over the course of self-regulatory operations will only be used within the boundaries of the self-regulation objectives concerned. In cases where another self-regulatory institution (including financial instruments exchanges, commodity exchanges, financial instruments firms associations, or commodity derivatives associations, or equivalent organizations in foreign countries) makes a request for information, notwithstanding the provisions of paragraph 4 above, the information may be provided to the self-regulatory institution concerned when TSE, OSE, or TOCOM deems that complying with the request is acceptable.
- "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 of Personal Information
When using personal information within the boundaries necessary to achieve objectives, JPX Group endeavors to ensure that the information is accurate and up to date. JPX Group takes appropriate and continual measures in security management to prevent leakage, loss, or damage of personal information.
8. Supervision of Employees and Outsourced Contractors
JPX Group conducts all necessary and appropriate supervision of our employees in order to manage the security of personal information. Also, when JPX Group outsources the handling of personal information to a third party, we will carefully select the third party and conduct any necessary and appropriate supervision of this party so that the security of personal information is properly managed.
9. Disclosure of Personal Information, etc.
When an individual or a third party to whom the individual has entrusted makes a request though a requirement that JPX Group determines for notification or disclosure of objectives, revisions, suspension of usage or ceasing provision of personal information that JPX Group keeps, JPX Group will respond faithfully to the request in accordance with laws and regulations. Please refer to JPX Group's Handling of Personal Information for specific request methods.
10. Inquiry Response
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 JPX Group's Handling of Personal Information for specific inquiry methods.
11. Organizational Structure for Personal Information Protection
The Group CEO of JPX serves as the head of personal information protection. JPX Group conducts appropriate personal information management through the division for personal information protection and by assigning personnel responsible for managing personal information in each department.
12. Enactment of Personal Information Protection Regulations
JPX Group has set personal information protection rules, etc. in order to implement this privacy policy, and will ensure that JPX Group's executives and employees are aware of both the privacy policy and rules. Moreover, JPX Group will periodically conduct spot checks and implement improvements as required.
13. Education and Training
In an effort to properly manage personal information, JPX Group has drawn up plans for educating and training executives and employees of JPX Group with the privacy policy and personal information protection regulations, and conducts this education and training as needed. JPX Group will periodically conduct spot checks and implement improvements as required.
14. Compliance with Laws and Regulations
JPX Group will adhere to the Act on the Protection of Personal Information and other laws and regulations, as well as financial industry guidelines to protect personal information.
15. Continuous improvement of the Privacy Policy
In order to protect personal information, JPX Group will review and improve upon 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
Revised on April 1, 2020
Revised on July 27, 2020
Revised on April 1, 2022
Last Revised on April 1, 2023
Hiromi Yamaji
Director & Representative Executive Officer, Group CEO
Japan Exchange Group, Inc.
Address: 2-1 Kabutocho Nihombashi, Chuo-ku, Tokyo 103-0026 Japan
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., Tokyo Commodity Exchange, Inc., Japan Exchange Regulation, Japan Securities Clearing Corporation and/or Japan Commodity Clearing House Co.,Ltd. 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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