Privacy Policy
We, RBS Securities Japan Limited, Tokyo Branch (the "Company") is committed to compliance with the Personal Information Protection Law ("Law") and other relevant laws and regulations. We hereby declare that we will protect customers' personal information which comes into our possession, in accordance with the policy set forth below.
1. Purpose of usage
We will use customers' personal information to the extent necessary to achieve the purposes specified below in regard to the business specified below:
[Business]
- Financial Instruments Business(purchase or sale of Securities, act of intermediary / broker/agent of purchase or sale of Securities, Underwriting, Derivatives business etc)
- Registered Financial Institution Business (securities related business, securities intermediation, derivatives transactions and other business in which banks are permitted to engage by laws) and other business auxiliary to Registered Financial Institution Business; and
- Other businesses in which banks are permitted to engage and business auxiliary to these (including businesses that may be permitted in the future.)
[Purpose]
- For solicitation or sale of the securities or/and the financial products, and providing the information about our services.
- For solicitation or sale of the financial products provided by the Company, the affiliated firms, and providing the information about services.
- For suitability check concerning providing the financial products and the services.
- For confirming identification of the customers or the agents of the customers.
- For providing the confirmation or/and the statement.
- For conducting the tasks in relation with the transaction with the customers.
- For execution of the rights or completion of the obligations based on the agreements with the customers or /and the regulatory requirements.
- For studying or /and developing the financial products or the services through marketing, data analysis, or/and a questionnaire survey.
- For conducting the business to treat the whole or the part of the personal data based on the request of the other firms.
- For conducting other businesses with the customers or the counterparts in an appropriate and timely manner
We will not use customers' personal information for any purpose other than those specified above, unless otherwise provided by the Law or unless we have obtained prior consent from customers.
2. Obtaining Personal Information
We will obtain personal information in a fair and lawful manner.
As well as by requesting customers to complete an application form or to present their ID documents, Company may collect personal information through contacts by mail, phone, and fax, etc., provided that these electronic devices are appropriately secured.
As a rule, Company does not collect sensitive information on individuals (i.e. political or religious belief, moral principles, race and other ethnic information, family origin, domicile of origin, medical and sexual information, and criminal history). Any sensitive information stated on a copy of official ID documents such as domicile of origin will be blacked out before filing.
3. Personal Data provided to the third parties
We will not provide the personal data of the customers to the third parties except where there is customer consent or where such use is exempted by the laws and regulations.
4. How to manage the information
We will endeavor to keep customers' personal information accurate and up-to-date, and take all reasonable precautions, including countermeasures against computer virus and unauthorized access, to protect personal information from loss, damages, and leakage.
We will appropriately oversee its outsourcing contractors that handle Personal Information.
5. Procedure for customer requests
When we are requested to disclose, correct or cease using the personal data which we hold, we will take the following actions.
- We will ask the customers to make a request in writing to Compliance Department.
- We will follow the identification process referring to the Law of Prevention of Transfer of Profit by Crime.
- We will ask the customers to pay the actual cost for copying or/and sending via mail.
6. Contact us
Please Contact us if you have any questions or complaint in relation to handling personal data.
Compliance Department
Address: Shin Marunouchi Center Building, 1-6-2 Marunouchi, Chiyoda-ku, 100-0005
Phone: 03-6266-3500
Business hours: 9:00am - 5:00pm (excluding weekends and holidays)
7. Approved personal data protection organization
We are member of the Japan Securities Dealers Association, an approved personal data protection organization that is approved by the Financial Services Agency. The Securities Mediation and Consultation Center of the Association accepts complaints and consultation in relation to the handling of personal data by its member companies.
[Complaints and Consultation Desk]
Personal Information Consultation Office, Japan Securities Dealers Association
Phone: 03-3667-8427 (http://www.jsda.or.jp/)
8. Sharing the personal data
We share the personal data as follows as far as the laws allow us to do.
Purpose of sharing information
- For confirming identification of the customer
- For providing the customers with the total service by RBS Group
- For performing internal control such as compliance, risk management, and internal audit
- For Group management
The Items of personal data to be shared
- Name and address
- Organization (Company) and its address
- Title
- Contact (telephone number, facsimile number, email address)
- Information about an account
- Contents of transactions
- Other items necessary to achieve above purposes
The parties to share personal data
The Royal Bank of Scotland Group plc and its affiliates
The party that is responsible for the management of shared personal data
RBS Securities Japan Limited, Tokyo Branch
9. Continuous Improvement, etc.
The contents of this policy may be amended according to amendment of the laws or by other reasons. The new one is disclosed at the counter or on the web site of the Company.
