Privacy Policy

Privacy Policy

Apr 2024
Daiwa Investor Relations Co.Ltd.

Daiwa Investor Relations (Daiwa IR; please refer to “Corporate Information” on Daiwa IR’s website for its address and the name of its representative) establishes and complies with privacy policy as follows, and treats personal information appropriately pursuant to the Act on the Protection of Personal Information.

1. Daiwa IR considers personal information as an individual property, recognizes its appropriate protection as an important responsibility, and complies with the Act on the Protection of Personal Information, the relevant laws and regulations, the guidelines of the relevant ministries and agencies, and the Personal Information Protection Commission, Daiwa IR's internal rules, and other norms.
2. Daiwa IR will specify the purposes of use of personal information, and will not use personal information by exceeding the extent necessary for the accomplishment of the purpose of use of personal information unless when there is a prior consent of the person or it is permitted by laws and regulations.
3. Daiwa IR will acquire collects personal information to the extent necessary for the accomplishment of the purposes of use in an appropriate and lawful manner.
4. Daiwa IR will appropriately manage with a necessary security measure so that leakage, loss, or the like regarding personal information may not occur.
5. Daiwa IR will implement a necessary and appropriate supervision for the entrusted company in the case of entrustment of handling of personal data.
6. Daiwa IR will accordingly review this privacy policy with a change of laws and regulations and continuously improve it.
7. Daiwa IR will endeavor to appropriately and promptly respond when there is a requests for the disclosure, correction, deletion, and discontinuation of use, regarding retained personal data etc.
8. Daiwa IR will endeavor to sincerely and promptly respond to inquiries, requests, and complaints, regarding handling of personal information.

Handling of Personal Information

1. Purposes for Using Personal Information

Daiwa IR will use personal information to the extent necessary for the accomplishment of 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
4. d. For the purpose of marketing by Daiwa IR, in order to carry out the business necessary for marketing, such as extracting members to be subject to questionnaires, surveys, etc., collecting and analyzing survey results, and responding to inquiries from members of Daiwa IR Monitor Club.

2. Appropriate Acquisition of Obtaining Personal Information

Daiwa IR will acquire personal information to the extent necessary for the business.

1. a. The document directly filled by the person, such as questionnaire.
2. b. The data directly entered by the person, such as online inquiries on the website. Furthermore, Daiwa IR will not obtain, use, nor provide any sensitive information (such as personal information need care, information concerning membership of the labor unions, family origin, registered domicile, health care, etc.) defined by the Guidelines on Personal Information Protection, excluding the case when it is permitted by laws and regulations.

3. Appropriate Management of Personal Information

Daiwa IR will strive to prevent leakage, loss, alteration, improper access or the like regarding personal information. At the same time, Daiwa IR will appropriately manage personal data by taking the following security measures.This includes measures prevent the leakage or the like of personal information which it has acquired or intends to acquire and which it intends to handle as personal data.

Formulation of Basic Policies
The Company will formulate basic policies for Compliance with Relevant Laws and Regulations and Guidelines, Etc. and Reception Counter for an Inquiry and Complaints, etc. to ensure the appropriate handling of personal data.

Establishment of Rules Pertaining to the Handling of Personal Data
Daiwa IR will formulate regulations for the handling of personal data in regards to the handling method, the persons responsible or persons in charge, and their duties, etc. for each stage of acquisition, use, storage, provision, deletion, disposal or the like.

Organizational Security Measures
Daiwa IR will appoint a person responsible for the handling of personal data. Together with this, Daiwa IR will clarify the employees who handle personal data and the range of personal data handled by said employees. Daiwa IR will establish a structure to contact the person responsible if facts or signs are uncovered that laws and handling regulations have been violated.

Personal Security Measures
Daiwa IR will provide education and appropriate supervision to employees in relation to the handling of personal data.

Physical Security Measures
Daiwa IR will control the entry and exit of employees and restrict the equipment and other devices they bring into zones where personal data is handled. In addition to this, Daiwa IR will take measures to prevent unauthorized persons from viewing personal data.

Technical Security Measures
Daiwa IR will introduce a structure to protect the information systems that handle personal data from unauthorized access or software from outside.

4. Disclosure and Provision of Personal Data to Third Parties

Daiwa IR will not disclose or provide to third parties any personal data of person without their respective prior consent, except for when it is based on laws and regulations and when we may entrust personal data to the extent necessary for the accomplishment of the purpose of use, and when it is permitted by laws and regulations.

5. Disclosure and Provision of Personal Data to Third Parties

Daiwa IR will not disclose or provide personal data to third parties in foreign countries without obtaining the prior consent of the person except if permitted by laws and regulations. If obtaining the consent of the person, Daiwa IR will provide the name of the said country, the systems relating to the protection of personal information in the said country, the measures taken by the said third party to protect personal information, and other information that should be referenced, etc.
If it is not possible to identify the said third party when obtaining consent, Daiwa IR will provide that fact, the specific reason and other information that should be referenced, etc. If it is possible to identify the third party to whom the personal data has been provided after the fact, the customer may ask Daiwa IR to provide information on the name of the said country, the systems relating to the protection of personal information in the said country and the measures taken by the said third party to protect personal information.
When Daiwa IR provides personal data to a party that has established a structure conforming to the standards stipulated in the rules of the Personal Information Protection Commission, it takes the measures necessary to ensure the continuous implementation of measures equivalent to the measures that should be taken by a personal information handling operator in regards to the handling of personal data. The customer may ask Daiwa IR to provide information on the said necessary measures.

6. Disclosure and Provision of Personal data to Third Parties in Foreign Countries

Daiwa IR may entrust all or a part of the business to the extent necessary for the accomplishment of the purposes of use and provide the necessary personal data in such cases below and so on. In the case of entrustment, Daiwa IR will supervise the entity entrusted by it with necessary and adequate care, including supervision of any entity entrusted by the entity entrusted by Daiwa IR.

1. a. Printing and mailing operations of letters.
2. b. Business operations concerning operation and management of information systems.
3. c. Business operations concerning laws and accounts which need to offer high value added services, such as advisory.

7. Joint Use of Personal Data

Daiwa IR may use personal data jointly within its group companies within the following scope.

1. a. Items of Personal Data Jointly Used
   The customers' name, address, date of birth, contact information (such as telephone number or e-mail address), occupation, information regarding the customers such as customers' transaction needs, contents of transaction, information regarding the customers' transaction such as balance on deposit
2. b. Scope of Joint Users
   Daiwa Securities Group Inc. (Daiwa IR's parent company) and its group companies
3. c. Purposes of Use of Joint Users
   For management and internal administration of the Daiwa Securities Group
4. d. Entity Responsible for Management of the Personal Data
   Daiwa Investor Relations Co.Ltd.
   please refer to “Corporate Information” on Daiwa IR’s website for its address and the name of its representative

8. Disclosure, Correction, Deletion, Discontinuation of Use, Etc. of Retained Personal Data Etc.

When the disclosure, correction, deletion, discontinuation of use or the like ("disclosure etc.") regarding retained personal data are asked in a disclosure written request by the person himself/herself or his/her agent, Daiwa IR will respond within a reasonable period and to a reasonable extent except for the case where, based on laws and regulations, disclosure etc. is not required, after confirming that it is a request from the person himself/herself. The information subject to disclosure etc. includes records provided by third parties. In these cases, Daiwa IR may charge a prescribed fee.

9. Inquiry, Request, Complaint, Etc. About Handling of Personal Information

Daiwa IR will endeavor to sincerely and promptly respond to inquiries, requests, complaints, regarding handling of personal information. About an inquiry about handling of personal information, please contact the following reception counter.
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