TOKYO AIM Home > Privacy Policy
Privacy Policy
TOKYO AIM, Inc. (hereinafter collectively referred to as the "TOKYO AIM") believes that it is our social responsibility to protect personal information obtained over the course of performing business activities as a financial instruments exchange provided by the Financial Instruments and Exchange Act, and has drawn up this privacy policy as a guideline for protection of the personal information in our possession.
1. Obtaining Personal Information
TOKYO AIM will obtain personal information using only fair and legal methods.
2. Publicity of Personal Information Usage Purposes, Etc.
When personal information is obtained by TOKYO AIM, the purposes of usage will be specified, and these purposes will be published, notified, or explicitly stated.
3. Usage of Personal Information
TOKYO AIM will only use personal information within the boundaries necessary for achieving its usage purposes. If the usage purposes originally specified are changed due to some significant reason, TOKYO AIM will complete the necessary procedures in accordance with the personal information protection law, etc.
However, sensitive information that is acquired over the course of business will not be used for any purpose other than those originally specified.
4. Provision of Personal Information to a Third Party
TOKYO AIM will not provide personal information to a third party without prior consent.
When providing such information to a third party, TOKYO AIM will complete the necessary procedures in accordance with the personal information protection law, etc.
5. Joint Use of Personal Information
There are some instances in which TOKYO AIM uses personal information jointly with a third party within the boundaries of usage purposes. When information is used jointly, TOKYO AIM will act in accordance with the personal information protection law, etc.
6. Acquisition and Use of Personal Information over the Course of Self-Regulatory Operations
Under the Financial Instruments and Exchange Act, TOKYO AIM, Inc. is defined as a "self-regulatory institution." TOKYO AIM has drawn up its articles of incorporation and other rules and regulations based on this Act, and requires parties such as trading participants and issuers of listed securities to submit or disclose necessary reports or materials that contain items considered personal information. TOKYO AIM requires this submission or disclosure in order to perform the operations required by the Financial Instruments and Exchange Act for ensuring fair price formation and smooth circulation in the exchange securities market, as well as protecting investors (hereinafter referred to as the "self-regulatory operations"). Moreover, Tokyo Stock Exchange Regulation is conducting self-regulatory operations which have been partially entrusted by TOKYO AIM.
TOKYO AIM will only use personal information obtained over the course of the self-regulatory operations within the boundaries of the relevant self-regulation purpose. In cases in which other self-regulatory institution (including financial instruments exchanges, financial instruments traders associations, and organizations in foreign countries corresponding to these) makes a request for information, notwithstanding the provisions of Rule 4 above, TOKYO AIM may provide the information to the relevant institution when TOKYO AIM deems that complying with the request is suitable.
(Note) "Self-regulatory operations" include, but are not limited to, self-regulatory operations provided by Paragraph 2, Article 84 of the Financial Instruments and Exchange Act.
7. Protection and Security of Personal Information
When using personal information within the boundaries necessary to achieve usage purposes, TOKYO AIM makes efforts to ensure that the information is accurate and up to date. TOKYO AIM takes appropriate and continuous steps in security management to prevent leakage, loss, or corruption of personal information.
8. Supervision of Personnel and Consignees
TOKYO AIM conducts necessary and appropriate supervision of our personnel in order to manage the security of personal information. Also, when TOKYO AIM consigns the handling of personal information to a third party, we will carefully select the third party consignee and conduct necessary and appropriate supervision of this party so that the security of personal information is appropriately managed.
9. Disclosure of Personal Information, Etc.
When an individual or a party whom the individual has entrusted makes a request though a method that TOKYO AIM sets forth for notification or disclosure of usage purposes, correction, or suspension of usage or provision of personal information that TOKYO AIM possesses, TOKYO AIM will respond faithfully to the request as specified by laws and regulations.
10. Inquiry Response
TOKYO AIM maintains methods for responding to complaints and questions regarding the handling of personal information, working to ensure a speedy and earnest response.
11. Organizational Structure for Personal Information Protection
The President and CEO of TOKYO AIM, Inc. serves as the person with the highest responsibility regarding protection of personal information. TOKYO AIM conducts appropriate personal information management through the division for personal information protection and by assigning personnel responsible for managing personal information to each department that handles such.
12. Enactment of Personal Information Protection Regulations
TOKYO AIM will draw up personal information protection regulations, etc. in order to implement this privacy policy, and will conduct thorough notification of TOKYO AIM’s executives and employees of both the privacy policy and regulations. Moreover, TOKYO AIM will periodically inspect the status of these efforts, and implement improvement measures as required.
13. Education and Training
In an effort to appropriately manage personal information, TOKYO AIM has drawn up plans for education and training for executives and employees of TOKYO AIM with regards to the privacy policy and personal information protection regulations, and conducts this education and training as needed. TOKYO AIM will periodically inspect the status of these efforts, and implement improvement measures as required.
14. Compliance with Laws and Regulations
In striving to protect personal information, TOKYO AIM will adhere to the personal information protection law and other laws and regulations, as well as financial industry guidelines regarding the protection of personal information. Moreover, TOKYO AIM will review and improve this Privacy Policy in the light of changes to laws and regulations in order to protect personal information.
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. TOKYO AIM, Inc. shall accept no responsibility or liability for damage or loss caused by any error, inaccuracy, or misunderstanding with regard to this translation.
