Declaration Regarding the Protection of Personal Information
October 1, 2008
Okasan Securities Group INC.
Okasan Securities Group INC. has formulated the Declaration Regarding the Protection of Personal Information with respect to the company's commitment to the protection of personal information:
- Compliance with relevant laws
We shall comply with the Personal Information Protection Law, other laws concerning the protection of personal information, and other applicable norms and standards. We shall endeavor to make ongoing improvements in terms of our commitment to the protection of personal information.
- Collection of personal information
When collecting personal information, we shall clarify the purposes of use and appropriately handle such information while remaining in compliance with prescribed internal regulations.
- Use of personal information and the provision thereof to third parties
Obtained personal information shall be handled within the scope of the stated purposes of use. Personal information shall not be provided to third parties except where otherwise permitted in advance by the individual concerned or where expressly prescribed as an exception in an applicable law or set of regulations.
- Personal information management system
We shall endeavor to keep personal information accurate and up-to-date at all times. In order to prevent any leaks of personal information, we shall carry out the required and appropriate security measures and properly supervise all executives, regular employees, and consignees.
- Responding to requests for disclosure
We shall advise the relevant persons of the necessary procedures in response to each request for the disclosure, correction, or discontinuation of use of data on an individual in our possession upon confirming the identity of the individual submitting the request. We will respond appropriately and promptly to inquiries and comments concerning the handling of personal information.
Our policy on the protection of personal information is prescribed as follows pursuant to our Declaration Regarding the Protection of Personal Information:
1. Obtaining personal information
We may request the following types of personal information for surveys or when our website is being accessed:
- Your postal code, address, name, telephone number, e-mail address
- Your date of birth, age, sex, family composition
- Your occupational details; information on your place of employment, income, and asset holdings
- Magazines/newspapers to which you subscribe, services that you use
- Information, fields, hobbies, and other matters in which you are interested
2. Purposes of use regarding personal information
Personal information provided to us shall be used for the following purposes:
- To verify that you are the person in question or a person acting on behalf of the person in question
- To send IR materials, etc.
- To conduct surveys and research relating to services, etc.
- To supply new services, etc.
3. Use of personal information
Personal information shall not be handled beyond the scope needed to attain the stated purposes of use as prescribed in the preceding clause, except where otherwise permitted in advance by the individual concerned or where expressly prescribed as an exception in an applicable law or set of regulations.
4. Personal information management system
Personal information shall be used for the following types of purposes:
- (1) Securing the accuracy of personal information
We shall endeavor to keep personal information accurate and up-to-date at all times within the scope needed to attain the stated purposes of use.
- (2) Implementation of security measures
We shall implement the necessary security measures in terms of organization, manpower, and technology in order to prevent leaks, losses, or damage of personal information and otherwise engage in the secure management of personal information.
- (3) Supervision of executives and regular employees
We shall endeavor to establish an appropriate internal control system and undertake the necessary and proper supervision of executives and regular employees in order to ensure the secure management of personal information when such information must be handled by our executives and regular employees.
- (4) Supervision of consignees
We shall endeavor to take the necessary and proper supervision of consignees in order to properly ensure the secure management of personal information even when such information is in the possession of consignees to whom we outsourced the handling of such information.
5. Providing personal information to third parties
Personal information shall not be provided to third parties except where otherwise permitted in advance by the individual concerned or where expressly prescribed as an exception in an applicable law or set of regulations.
6. Shared use of personal information
We may at times use personal information jointly with Okasan Securities Group companies and other specified parties for the purpose of providing comprehensive services, including the management of investments and assets. In such cases, we will provide notification of personal information that will be jointly used, the parties that will use the information, the purposes of use, the persons in charge of managing the information, and other pertinent information to the affected individuals directly or through our website in advance.
* The "Okasan Securities Group" refers to consolidated subsidiary companies and other entities as defined in our financial reports and other documentation.
7. Procedures for requesting the disclosure of personal data in our possession
Contact the following for procedures to request the disclosure, correction, or discontinuation of use of data on an individual in our possession or to submit questions, requests for consultations, or complaints about the handling of personal information.
Public and Investors Relations Department , Okasan Securities Group INC.
8. Publication of Personal Information Protection Policy
Our Personal Information Protection Policy is posted on our website. We may revise the Personal Information Protection Policy, in whole or in part, without notice. The contents of material changes will be posted on our website for a specified period of time.