Privacy Policy (Translation)

May 2016
Daiwa Investor Relations Co. Ltd.

Daiwa Investor Relations (Daiwa IR) has adopted the following Privacy Policy, which is based on Japan’s Act on the Protection of Personal Information, and handles personal information appropriately in accord with this policy.

  1. Daiwa IR regards personal information as an important asset of individuals and is aware of its responsibilities to take appropriate measures to protect this information. To fulfill this responsibility, Daiwa IR abides by relevant laws, ordinances, guidelines of responsible government ministries and agencies, and its own internal rules and other regulations.
  2. Daiwa IR indicates the specific purposes for the use of personal information and does not use such information if it goes beyond the scope of the specified purposes, except in cases where permission for its use has been received in advance from the individuals in question and/or when the use of such information is authorized by law, etc.
  3. Daiwa IR collects personal information only within the scope of the specific purposes and only according to proper and legally accepted methods.
  4. To prevent leakage, loss, or other impairment of personal information, Daiwa IR implements the necessary safety and security measures in the management of such information. Also, in handling such information, Daiwa IR conducts training programs for its employees and uses necessary surveillance methods.
  5. When the handling of personal information is subcontracted to other parties, Daiwa IR subjects those parties to the necessary and appropriate surveillance methods.
  6. When laws and regulations undergo change, Daiwa IR will review this Privacy Policy and will work to make necessary improvements on a continuing basis.
  7. Also regarding personal information it has received, Daiwa IR will endeavor to respond appropriately and promptly when requests are received for the disclosure, revision, erasure, and/or cessation of use of such information.
  8. Daiwa IR will endeavor to respond sincerely and promptly to questions, opinions, complaints, etc., regarding personal information.

Handling of Personal Information

1. Purposes for Using Personal Information
Daiwa IR uses personal information only within the scope of the specific purposes as necessary for the following purposes.
  1. a. To provide information on Daiwa IR’s products and services related to the IR activities of its customers among listed corporations and companies scheduled to be listed (hereinafter, companies)
  2. b. To send notices of corporate events, including its own and those of other companies
  3. c. To provide information on its own products and services and those of the Daiwa Securities Group companies
2. Appropriate Methods for Obtaining Personal Information
Daiwa IR obtains personal information only as necessary for its business purposes. Also, Daiwa IR does not obtain, use, or transmit to third parties information of the following sensitive information, except as authorized by law. Sensitive information is defined to include information related to political views, religious and other beliefs (religions, philosophies, and moral principles), membership in labor unions, race and ethnicity, family lineage and place of legal domicile, health and sexual preferences, and criminal records.
3. Appropriate Management of Personal Information
Daiwa IR endeavors to prevent leakage, loss, falsification, unauthorized access, and other impairment of personal information and implements the necessary safety and security measures in the management of such information.
4. Disclosure and Provision of Personal Information to Third Parties
Daiwa IR does not disclose or transmit personal information to third parties without acquiring the authorization for such disclosure in advance by the individuals in question, unless such disclosure or transmission is legally authorized, for example, when it subcontracts the processing of such information to other companies as necessary to attain its objectives.
5. Subcontracting of Personal Information Handling
Daiwa IR may subcontract all or a portion of the processing of personal information to other companies, but only within the scope of the specific purposes as necessary to facilitate the conduct of its business activities and attain its objectives. When the processing of personal information is subcontracted to other parties and they, in turn, subcontract to other companies, Daiwa IR subjects all such parties to the necessary surveillance methods.
6. Disclosure, Revision, Erasure, and Cessation of Use of Personal Information
When Daiwa IR receives requests from individuals providing the personal information in Daiwa IR’s possession, or their legal representatives, to disclose, revise, erase, or cease the use of such information (hereinafter, disclosure), Daiwa IR first confirms that such requests are in accord with the intentions of the individuals providing such information. Thereafter, except in cases where disclosure is not required by law, Daiwa IR replies in writing to such requests within a reasonable time period and within an appropriate scope.
7. Responding to Questions, Opinions, Complaints, etc., Regarding the Handling of Personal Information
Daiwa IR will endeavor to respond sincerely and promptly to questions, opinions, complaints, etc., regarding personal information. Please address questions regarding the handling of personal information to the following department.
For further information, please contact: Business Process Planning & Administration Dept., Daiwa Investor Relations
Telephone: +81-3-5555-4111 (Main number)
Business hours: Weekdays, from 9am to 5pm