Privacy Policy
May 2017
Daiwa Asset Management Co. Ltd.
Daiwa Asset Management Co. Ltd. (the "Company"), pursuant to the Act on the Protection of Personal Information, has established a Privacy Policy, and will comply with the policy and treat personal information and anonymously processed information appropriately as follows.
- The Company considers personal information as an important property of individual and recognizes its appropriate protection as a serious responsibility, and will comply with the Act on the Protection of Personal Information, the relevant laws and regulations, the guidelines, the company’s internal rules, and other norms to fulfill this responsibility.
- The Company will specify the purpose 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 there is a prior consent of the principal or it is permitted by laws and regulations.
- The Company will acquire personal information to the extent necessary for the accomplishment of the purpose of use of it, in an appropriate and lawful manner.
- The Company will take appropriate action to manage personal information with necessary security control measures so that leakage, loss, or the like, regarding personal information may not occur. In addition, we will conduct trainings and appropriate supervisions to employees about the handling of personal information.
- The Company will exercise a necessary and appropriate supervision for the entrusted person when entrusting the handling of personal data.
- The Company will review the privacy policy as necessary in accordance with changes of laws and regulations and will strive to improve the privacy policy continuously.
- The Company will strive to respond appropriately and promptly when there is a request for disclosure, correction etc., and utilization cease etc., regarding the retained personal data.
- The Company will strive to respond sincerely and promptly to inquiries, comments and complaints, regarding the handling of personal information.
- The Company will take necessary action and manage anonymously processed information appropriately according to the handling of personal information.
<Handling of Personal Information>
1. The Purpose of Use of Personal Information
The Company will use personal information to the extent necessary for the accomplishment of the following purposes.
- We will acquire addresses, names, telephone numbers, E-mail addresses, and call center records and will retain them as personal data in order to provide information and services in response to queries and requests from customers, to conduct market surveys to offer better products and services, and, as necessary, to comply with the requirements of laws, regulations, and industry rules.
- In accordance with standard business practice, we will acquire information appropriately, including the names and positions of relevant individuals, telephone numbers, E-mail addresses, CVs of representatives etc. and will retain this information as personal data to manage contact information etc. of public offices, relevant industry organizations, business partners, etc., which we are required to contact in the daily business operations.
- For security purposes, we will acquire information, including images of visitors to our offices recorded by security cameras, and retain this information as personal data.
- For the purpose of employment management, we will acquire personal information of executives and employees and retain it as personal data. In addition, we will acquire personal information of applicants for recruiting and internship and retain it as personal data.
Regarding the above personal information, we may acquire personal information separately by clearly specifying of its usage and obtaining principal’s consent as necessary, and retain it as personal data. In addition to that, we may also acquire personal information as ancillary information and retain it as personal data through research on the eligibility of distributors, entrusted persons, and business partners etc. which is necessary for ordinary business, as well as research on news, business environment and economies by various media and the like.
2. Appropriate Acquisition of Personal Information
The Company will acquire personal information to the extent necessary for our business. Moreover, the Company will not acquire, use, or provide the information related to sensitive information, which is special care-required personal information and information concerning membership of any labor union, family origin, registered domiciled, medical or health care records, and sexual activities, to any third parties, unless the information is open to public by principals, government organization, local governments and any other persons prescribed by laws and regulations.
3. Appropriate Management of Personal Information
The Company will manage appropriately with necessary security control measures to prevent leakage, loss, manipulation, illegal access or the like with regard to personal information.
4. Disclosures and Provisions of Personal Data to Third Parties
The Company will not disclose or provide any personal data without prior consent of the principal to third parties, except for the cases below and the cases permitted by laws and regulations.
- Cases in which a principal has provided consent.
- Cases based on laws and regulations.
- Cases in which there is need to protect human life, body or fortune, and when it is difficult to obtain a principal’s consent.
- Cases in which there is a special need to enhance public hygiene or promote fostering healthy children, and when it is difficult to obtain a principal's consent.
- Cases in which there is a need to cooperate in regard to a central government organization or a local government, or a person entrusted by them performing affairs prescribed by laws and regulations, and when there is a possibility that obtaining a principal's consent would interfere with the performance of the said affairs.
- Cases in which personal data (excluding sensitive information) that could be identified as the said principal is blocked to third-parties from a request by the said principal and noticed the requirements to the said principal in advance or placed in a situation where such information can be easily obtained and has been notified to the Personal Information Protection Commission.
5. Disclosures and Provision of Personal Data to a Third Party in a Foreign Country
The company, except for the cases below and cases permitted by laws and regulation, will not disclose or provide personal data to a third-party (excluding a person establishing a system conforming to standards prescribed by laws and regulations as necessary for continuously taking action equivalent to the one that a personal information handling business operator shall take concerning the handling of personal data) in a foreign country (excluding those prescribed by laws and regulations as a foreign country establishing a personal information protection system recognized to have equivalent standards to that in Japan in regard to the protection of an individual's rights and interests), without obtaining a principal's consent in advance.
- Cases in which a principal has provided consent.
- Cases based on laws and regulations.
- Cases in which there is need to protect human life, body or fortune, and when it is difficult to obtain a principal’s consent.
- Cases in which there is a special need to enhance public hygiene or promote fostering healthy children, and when it is difficult to obtain a principal's consent.
- Cases in which there is a need to cooperate in regard to a central government organization or a local government, or a person entrusted by them performing affairs prescribed by laws and regulations, and when there is a possibility that obtaining a principal's consent would interfere with the performance of the said affairs.
6. Entrustment of Handling of Personal Data
The Company, in order to facilitate the tasks necessary for handling personal data use, may entrust a whole or a part of the business and provide the necessary personal data to the a trustee. In the case of entrustment, the Company will exercise necessary and appropriate supervision over the trustee, including oversight to subcontractors.
7. Joint Use of Personal Data
The Company may use personal data of customers jointly within the following scope.
- The categories of personal data jointly used The customer’s name, address, date of birth, contact information such as telephone number or e-mail address, occupation, information regarding the customer’s transaction needs, contents of the transaction, information regarding the customer’s transaction such as a balance on deposit.
- The scope of joint users Daiwa Securities Group Inc. which is the parent company of Daiwa Asset Management Co. Ltd. and its consolidated subsidiaries.
- The utilization purposes of joint users The business management and the internal control of Daiwa Securities Group Inc..
- A person responsible for the management of the personal data Daiwa Asset Management Co. Ltd..
8. Disclosure, Correction etc., Utilization Cease etc. of Personal Data
When a person or an agent for the person asks the disclosure, correction etc., utilization cease etc. (the “disclosure etc.”) regarding retained personal data by a written request, the Company, after confirming that the request is from the principal itself, will respond in writing within a reasonable period and a reasonable scope except in cases where disclosure etc. is not required based on laws and regulations.
<Handling of Anonymously Processed Information>
1. Production etc. of Anonymously Processed Information
The Company will not produce anonymously processed information.
2. Provision of anonymously processed information to a third party
When the Company provides the anonymously processed information to a third party, the Company will disclose in advance the categories of information and its providing method, and state to a third party explicitly that the information being provided is anonymously processed information.
3. Identifying act of anonymously processed information
When using anonymously processed information, the Company will not acquire information on processing method or collate with other information in order to identify the principal concerned with personal information.
< Inquires, Comments, Complaints, etc. about Handling of Personal Information and Anonymously Processed Information>
1. Our contact information
The Company will strive to respond sincerely and promptly to inquiries, comments, complaints, regarding the handling of personal information and anonymously processed information. For an inquiry about the handling of personal information and the anonymously processed information, please contact the following.
【Contact information for an inquiry etc.】
Daiwa Asset Management Co. Ltd., Call Center
Phone: +81-3-5555-0521
Business Hours: Weekdays 9:00am-5:00pm (local time)
2. Accredited personal information protection organization
The Company is a member of The Investment Trusts Association, Japan, and Japan Investment Advisers Association that are accredited personal information protection organizations approved by the Personal Information Protection Commission. Investor Enquiry Section of The Investment Trusts Association, Japan, and Grievance Desk of the Japan Investment Advisers Association will receive complaints and provide consultation with respect to its members' handling of personal information and anonymously processed information.
【Contact information for complaints and consultations】
The Investment Trusts Association, Japan
Investor Enquiry Section
Phone +81-3-5614-8440
Japan Investment Advisers Association
Grievance Desk
Phone +81-3-3663-0505