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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.Colleting 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.Security and Maintenance of Personal information

We shall implement necessary and appropriate security and maintenance measures to prevent the leakage or inappropriate use of personal information as well as appropriately supervise officers, employees and delegates.

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 regarding such client, we will make best efforts to respond to such request appropriately and promptly, upon verification of such client’s identification.

8.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.

9.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: 03-3667-8427 <http://www.jsda.or.jp/>

General Affairs Department
Type II Financial Instruments Firms Association
Telephone: 03-3663-2461 <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.

1.Disclaimer

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.

2.Copyright

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.

Copyright © 2018 Ueda Yagi Securities Co., Ltd.. All rights reserved.