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Privacy Policy

Nomura Fiduciary Research & Consulting Co., Ltd. and its officers and employees strictly comply with related laws and regulations, and the guidelines of supervisory agencies. To ensure compliance, Nomura Fiduciary Research & Consulting Co., Ltd. has adopted the following basic policies.

  1. Personal information including Individual Number ("Personal Information, etc.") shall be handled in accordance with applicable laws, and efforts shall be made to ensure that the content of Personal Information, etc. is accurate and up-to-date.
  2. Personal Information, etc. shall be used only for its intended purposes. The Individual Number, in particular, will only be used in accordance with relevant laws and regulations. Furthermore, Personal Information, etc. shall not be provided or disclosed to third parties in the absence of the individual's consent without good cause, such as a duty to disclose pursuant to applicable laws.
  3. Thorough training and education of all officers and employees shall be conducted to prevent leakage and improper use of Personal Information, etc. Furthermore, managers responsible for controls and inspection of the use of Personal Information, etc. shall be appointed and proper measures for the security control thereof shall be taken.
  4. If Personal Information, etc. is handled by outside contractors, such contractors shall be supervised by Nomura Fiduciary Research & Consulting Co., Ltd. to ensure the protection of Personal Information, etc.
  5. Disclosure, correction, and termination of use of Personal Information, etc. shall be performed in accordance with applicable laws upon request from the individual concerned. In such cases, Nomura Fiduciary Research & Consulting Co., Ltd. may be entitled to receive prescribed fee.

<Main Information Acquired from Personal Information>

We may obtain personal information in the following ways:

  • Asking customers to fill out the seminar application form and questionnaire directly;
  • Collecting information from books on the market, such as the KAISHA SHIKIHO, the YAKUIN SHIKIHO, and newspapers;
  • Hearing from customers through the provision of products and services.

<Main business outsourced>

Our company outsources handling of personal information as follows.

  • printing or sending of documents to be sent to customers.

<Use of Personal Information>

We may use customers' personal information for:

  • performing administrative functions with respect to the investment advisory contracts (advisory business) or discretionary investment contracts;
  • providing investment advisory services and information services;
  • conveying information to customers such as results of investment management, account balances, and investment status;
  • the provision of information concerning solicitations, sales, and services relating to the financial products of Nomura Fiduciary Research & Consulting Co., Ltd. or its affiliates or its business partners and to introduce our affiliates;
  • ensuring that transactions with customers and trading partners are implemented properly and efficiently.

We may use professional career information of fund managers, analysts, etc. from investment management companies for:

  • analyzing and evaluating financial products and investment management companies' investment management capabilities;
  • providing our analysis and evaluation materials about the investment management companies, including professional career information, to investors or sales channel of the financial products such as the securities distributors, and its clients as investors, in order to disclose the information about the financial products which are managed by the investment management companies;
  • providing our analysis and evaluation materials about the investment management companies or its financial products, including professional career information, to our customers such as pension plan sponsors or its consultants etc, which we provide with services according to the agreements with them;
  • providing our analysis and evaluation materials about the investment management companies, including professional career information, to our potential customers or sales channel such as the securities distributors, in order to introduce the investment management companies, develop new financial products and offer investors new investment opportunities etc.;
  • providing investment management companies' information including professional career information to Nomura Fiduciary Research & Consulting America, Inc., in order to entrust it with analyzing and evaluating the investment management capabilities of the companies.

<Shared Use of Personal Data>

We may, from time to time, use and share personal data in the following manner. Please note that if sharing personal data is prohibited under the Financial Instruments and Exchange Act or other applicable laws and regulations, we may not share it unless we obtain written consent from the person or we take other measures which are required to share the information in accordance with the laws and regulations.

  • Items of personal data for shared use
    • Customer information including the name, address, date of birth, telephone number, occupation and his / her transaction demand.
    • Information relating to customer transactions including the details of the transactions and assets under custody.
    • Professional career information of fund managers, analysts, etc. in investment management companies.
  • Scope of entities to be shared
    • Nomura Holdings, Inc. and its consolidated subsidiaries so specified under certain financial statement reports (including "yukashoken houkokusho") (hereinafter "Affiliates").
  • Purpose of shared use
    • For the purpose of comprehensive service of Nomura Group's developing and notify and providing.
    • For the purpose of Nomura Group's business management systems and internal control, including integrated compliance and risk management.
    • For the purpose of requesting analysis and evaluation of investment management companies' information including professional career information to Affiliates.
  • Name of the company responsible for management of personal data
    • Nomura Fiduciary Research & Consulting Co., Ltd.

Inquiries concerning Personal Information, etc. and its intended uses should be directed to:

Personal Information, etc.

Compliance Department
Nomura Fiduciary Research & Consulting Co., Ltd.
Address: 3-21-1 Nihonbashi Hama-cho, Chuo-ku, Tokyo 103-0007
Tel: 81-3-6636-0100

Nomura Fiduciary Research & Consulting Co., Ltd. will continuously review and make improvements as necessary to the management system of Personal Information, etc.

Request for the disclosure or correction of personal information

Requests for the disclosure or correction of personal information held by Nomura Fiduciary Research & Consulting Co., Ltd. should be made in the prescribed form.

Certified personal information protection organizations and information for complaints:

Japan Investment Advisers Association
Complaint Hotline: 81-3-3663-0505
Office hours: Weekdays from 9:00 a.m. to 5:00p.m. (JST).