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Privacy Policy

Ueda Yagi Securities Co., Ltd. Privacy Policy

As our basic policy regarding the personal information of our clients, we hereby make this Privacy Policy regarding Protection of Personal Information (the “Policy”) as follows;

1.Compliance with Applicable Laws

We shall comply with (i) the Law concerning Protection of Personal Information, other applicable laws and regulations related to personal information protection, guidelines, and (ii) the Policy and other internal guidelines, and make our best efforts to appropriate protect and use of the personal information of our clients.

2.Appropriate Acquisition of Personal Information

Information will be collected in a manner consistent with all relevant laws and regulations, and necessary measures will be taken to ensure that such personal information is correct and up-to-date.

3.Use of Personal Information

We will only use your personal information, in order to conduct Type I Financial Instruments Business (Securities Business), Type II Financial Instruments Business (LPS Distribution Business), Non-discretionary Investment Advisory Business, Discretionary Investment Management Business and its related services (including services which will be permitted to conduct in the future), within the scope of achieving the following purposes:

A. to accept subscription documents for financial products and/or financial services, including account opening;
B. for performing or soliciting transactions and related services concerning securities or any other financial products handled by us;
C. to verify your identification under anti-money laundering regulations and check your eligibility, when we offer financial products or provide financial services;
D. for reviewing your suitability for solicitation by us in connection with any of our financial products or services;
E. to properly carry out any outsourcing services, if we are requested by a third party to handle part or all of such third party’s personal information;
F. to exercise the rights and/or fulfill the obligations, based on contracts with clients or required by laws;
G. for providing information concerning products or services offered by partner companies;
H. for development of our internal business process for redemption of transactions;
I. for informing you of performance results and account balances concerning financial products or services offered to you;
J. for researching or developing financial products and services provided by or to be provided by us by using market research, data analysis or customer surveys; and
K. for any other purposes in connection with the above purposes to enable us to adequately and smoothly provide our services to you.
Notwithstanding the purpose of use in the items above, we will only use Individual Numbers for “Application and Notification of the Opening of Accounts Related to Financial Instruments Transactions” and “Preparation and Presentation of Statutory Documents Related to Financial Instruments Transactions”.

4.Implementation of Security Control Measures

We will implement necessary and appropriate security control measures to prevent the leakage or inappropriate use of personal information, and will appropriately supervise officers, employees and delegates handling personal information.

(Formulation of Basic Policy)
To ensure the proper handling of personal data, we will formulate a basic policy regarding "compliance with related laws and regulations and guidelines," "contact point for questions and complaints handling office," etc.

 (Establishment of Rules for the Handling of Personal Data)
We will establish rules for the handling of personal data, including handling methods, responsible persons and persons in charge, and their duties, for each stage of acquisition, use, storage, provision, deletion, disposal, etc.

 (Organizational Security Control Measures)
In addition to establishing a person responsible for the handling of personal data, we will clarify the officers and employees who handle personal data and the scope of personal data handled by such officers and employees, and establish a system for reporting to the person responsible in the event that a violation of the Personal Information Protection Law or handling regulations is detected or any sign of such a violation is detected.

 (Human Security Control Measures)
Regularly provide training for executives and employees on matters to keep in mind regarding the handling of personal data. The confidentiality of personal data is provided in the employment regulations.

 (Physical Security Control Measures)
In areas where personal data is handled, we will implement measures to prevent unauthorized persons from accessing personal data by controlling the access of officers and employees and restricting the equipment  they may bring into the area.
In addition, we will implement measures to prevent unauthorized persons from viewing personal data.

(Technological Security Control Measures)
Access control is implemented to limit the scope of persons in charge and the personal information databases handled.

 (Understanding the External Environment)
If personal data is stored in a foreign country, we will implements security control measures based on an understanding of the systems for the protection of personal information in such foreign countries.

5.Sensitive Personal Information

We do not acquire, use or disclose to third parties the Sensitive Personal Information defined in the Law concerning Protection of Personal Information and other guidelines ( the personal information which contains race, creed, social status, medical history, criminal record and other information to require special consideration in handling in order to avoid any unfair discrimination, prejudice or other disadvantage to an individual, and the information regarding labor union membership, family origin, legal domicile, health medical treatment, and sex life ), except as otherwise required by law.

6.Continuous Enhancement

For the appropriate treatment of personal information, we shall review this Policy from time to time and make endeavors for its continuous enhancement.

7.Disclosure Requests

If any client requests to disclose, correct or suspend the personal information, or disclose the third party delegation records regarding such client, we will make best efforts to respond to such request appropriately and promptly, upon verification of such client’s identification.

8.Disclosure and Provision of Personal Data to Third Parties in Foreign Countries

If we need to provide personal data to a third party in a foreign country (including handling by an overseas office or transfer by outsourcing), we shall, in accordance with the laws and regulations, disclose the name of the relevant foreign country, information regarding the system for protection of personal information of the relevant country, and information on measures to be taken by the third party for the protection of personal information upon the request from the customers.

If personal data is provided to a party that has established a structure conforming to the standards stipulated in the rules of the Personal Information Protection Commission, we will take the measures necessary to ensure the continuous implementation of measures equivalent to the measures that should be taken by a personal information handling operator regarding the handling of personal data. The customer may ask us to provide information regarding the method to implement the system by the relevant third party, the summary of the necessary measures taken by the relevant third party etc.

9.Questions and Opinions

We shall endeavor to promptly and faithfully respond to any questions or opinions from our clients with respect to any personal information. For questions or opinions, please contact our General Affairs Department:

Ueda Yagi Securities Co., Ltd.
General Affairs Department

1-1-9 Nihonbashi-Hongokucho, Chuo-ku, Tokyo 103-0021 Telephone:+81-3-3270-2845
Business Hour: 9:00a.m. ~ 5:00p.m.

10.Authorized Personal Information Protection Organization

We are a member of the Japan Securities Dealers Association and the Japan Investment Advisers Association, which are authorized personal information protection organizations authorized by the Financial Services Agency. Complaints and inquiries regarding treatment of personal information of the association's members are received at the following attentions;

Personal Information Consultation Section,
Japan Securities Dealers Association
Telephone: 03-3665-6784 <http://www.jsda.or.jp/>

General Affairs Department
Type II Financial Instruments Firms Association
Telephone: 03-6910-3980 <http://www.t2fifa.or.jp/>

Consultation Helpdesk,
Japan Investment Advisers Association
Telephone: 03-3663-0505 <http://www.jiaa.or.jp/>

Site Policy

This site policy is applicable to this website (i.e. www.uedayagi-sec.co.jp) managed and operated by Ueda Yagi Securities Co., Ltd. Please note the following when accessing this website.


The contents of this website are intended for use by the residents of Japan. In addition, any items on this website are published for the purpose of providing information pertaining to Ueda Yagi Securities Co., Ltd. as well as general information relating to securities investments. Information is not provided for solicitation purposes. Although the information provided on this site is obtained or compiled from sources Ueda Yagi Securities Co., Ltd. believes to be reliable, Ueda Yagi Securities Co., Ltd. cannot and does not guarantee the accuracy of the information and materials contained in this website. Ueda Yagi Securities Co., Ltd. is not liable for any loss arising from the inaccuracy of said information and materials. Also, Ueda Yagi Securities Co., Ltd. expressly disclaims liability for any loss incurred from acts derived from any judgment based on the information contained in this website. The information and materials may, at our discretion, be updated, added, changed, deleted, or partly revised without giving prior notice to the customer.


Copyright and other intellectual property rights of the contents contained herein are owned by Ueda Yagi Securities Co., Ltd. unless otherwise indicated. By applicable laws, all of the above may not be used (e.g. copied, modified, uploaded, displayed, transmitted, distributed, licensed, sold or published), transmitted, or transferred via intranet or e-mail to a third-party without the prior permission from Ueda Yagi Securities Co., Ltd.

3.Links to Other Websites

This website contains links to other websites. Ueda Yagi Securities Co., Ltd. is not responsible for these other websites, and as such, we have not reviewed all of the information on such websites. Ueda Yagi Securities Co., Ltd. is not responsible for the content of any other websites or any products or services that may be offered through such websites. In addition, Ueda Yagi Securities Co., Ltd. is not liable for any loss or damage arising from the use thereof.

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