Mercuria Holdings
Privacy Policy
If you have any inquiries about the contents of this page, please contact Mercuria Investment Co., Ltd., directly.
Basic policy on protection of personal information
Mercuria Investment Co., Ltd. ("We" or "Us") and its officers and employees will observe the Act on the Protection of Personal Information, Act on the Use of Numbers to Identify a Specific Individual in the Administrative Procedure and other applicable laws and ordinances, and hereby prescribe our basic policy on the protection of personal information as follows.
- We will observe laws, ordinances and other rules related to the protection of personal information in respect to personal information including Specific Personal Information (Personal Information, etc.).
- We will properly acquire Personal Information, etc. and will not use personal information beyond the scope of purpose of use. Furthermore, we will not disclose or provide Personal Information, etc. to a third party without obtaining the person's consent unless such disclosure is required under laws and ordinances.
- We will endeavor to maintain the acquired Personal Information, etc. to be accurate and up to date. We will also take necessary and appropriate security control measures to prevent the unauthorized access, divulgence, loss and falsification of Personal Information, etc.
- If we are to consign the handling of Personal Information, etc. to a third party, we will appoint a party that is acknowledged as being capable of properly handling Personal Information, etc., and appropriately supervise such party so that the security control measures of Personal Information, etc. are taken.
- If we are to consign the handling of Personal Information, etc. to a third party, we will appoint a party that is acknowledged as being capable of properly handling Personal Information, etc., and appropriately supervise such party so that the security control measures of Personal Information, etc. are taken.
- When requested by the person, we will disclose, correct or discontinue the use of Personal Information, etc. in accordance with laws and ordinances. In the foregoing case, we may charge a certain fee to the person.
- We will prescribe our internal rules related to the protection of personal information, and continuously review and observe the same.
Purpose of use of personal information
We will handle personal information only to the extent required for achieving the following purposes of use.
1. Business description
- Investment management business and services incidental thereto
- Investment advisory/agency business and services incidental thereto
- Type II financial instruments business and services incidental thereto
- Other businesses that may be conducted as an investment management business operator, an investment advisory/agency business operator or a type II financial instruments business operator and services incidental thereto
- Real estate related business (real estate brokerage) and services incidental thereto
- Other businesses which we are allowed to conduct (including businesses which we may be allowed to conduct in the future)
2. Purpose of use of personal information
- Administrative tasks related to a discretionary investment contract or an investment advisory contract (advisory business)
- Solicitation and sale of securities, financial products and other products handled, investment therein, and introduction and provision of services related thereto
- Solicitation and sale of financial products handled by us, our affiliates or partners, and introduction, provision and management of services handled by us, our affiliates or partners
- Reporting of information such as investment results and balance of contract assets
- Performance of real estate related business (real estate brokerage) and services incidental thereto
- Confirmation of the identity of an individual or an individual’s representative
- Determination of appropriateness of products or provision of services in light of the principle of suitability and other factors
- Appropriate implementation of the entrusted services in the event of being entrusted with all or a part of the handling of personal information by another business operator
- Research and development of financial products and services based on market research, data analysis and surveys
- Appropriate and smooth implementation of transactions with customers and business partners
Sensitive information shall not be used or provided to third parties for any purpose other than ensuring appropriate business operations and other purposes deemed necessary in accordance laws and regulations.
Shared Use of Personal Information
We may share personal information with our group companies in order to jointly carry out operations that we are able to perform or that are incidental to those operations.
1.Personal Information Shared
We will use customer information such as name, address, date of birth, telephone number, and transaction needs, but will limit it to the minimum necessary items.
2. Scope of Shared Users
Mercuria Holdings Co., Ltd., a holding company of us, and consolidated subsidiaries listed in Mercuria Holdings' securities reports.
3. Purpose of Use
- Solicitation and sale of securities, financial products handled by us, including investment advisory and discretionary invesment contract, and introduction of services related thereto
- Introduction of our affiliates or partners
- Determination of appropriateness of products or provision of services in light of the principle of suitability and other factors
- Confirmation of the identity of an individual or an individual’s representative
- Reporting of information such as investment results, deposit balance and status of operation
- Performance of real estate related business (real estate brokerage) and services incidental thereto
- To exercise rights and fulfill obligations under contracts with customers and under laws and regulations, etc.
- Appropriate implementation of the entrusted services in the event of being entrusted with all or a part of the handling of personal information by another business operator
- Research and development of financial products and services based on market research, data analysis and surveys
- Appropriate and smooth implementation of transactions with customers and business partners
- To conduct business management and internal control, such as integrated compliance and risk management of group companies
- Regarding personal information of our officers and employees, for employment management, execution of duties based on related laws and regulations, and promotion of business activities
4. Party Responsible for Management of Relevant Personal Information
Mercuria Investment Co., Ltd.
Personal Information Consultation
If you have any questions regarding our company’s handling of personal information, please contact our inquiry counter.
Authorized personal information protection organization
We are a business operator affiliated with the Japan Investment Advisers Association which is an authorized personal information protection organizations that was authorized by the Financial Services Agency. This Association also accept inquiries and complaints concerning the handling of personal information by their members.
Inquiries or complaints related to discretionary investment contracts and investment advisory business
Japan Investment Advisers Association, Complaints Desk
Tel: 03-3663-0505
Basic Policy on the Proper Handling of Specific Personal Information, etc.
In compliance with the Act on the Use of Numbers to Identify Specific Individuals in Administrative Procedures and other laws and regulations, we have established the following basic policy for the appropriate handling of personal numbers and specific personal information (hereinafter referred to as "specific personal information, etc.")
1. Company Name
Mercuria Investment Co., Ltd.
2. Appropriate Handling of Specific Personal Information, etc.
We will handle specific personal information, etc. in an appropriate manner in compliance with the Act on the Use of Numbers to Identify Specific Individuals in Administrative Procedures, the Act on the Protection of Personal Information, the Guidelines for the Appropriate Handling of Specific Personal Information (Company Edition), and other related laws, regulations, and guidelines.
3. Security control measures
We will prescribe our internal rules on the protection of Specific Personal Information, and take appropriate security control measures to prevent the unauthorized access to the Specific Personal Information, etc., and to prevent the divulgence, loss or damage of the Specific Personal Information, etc.
4. Consignment of handling of Specific Personal Information, etc.
We may consign the handling of Specific Personal Information, etc. to a third party. In the foregoing case, we will confirm that the consignee is taking the same level of security control measures as us, and offer necessary supervision to the consignee based on laws and ordinances.
5. Continuous improvement
We will continuously review and observe our internal rules so that the Specific Personal Information, etc. is protected appropriately.
6. Inquiry counter
Please contact our inquiry counter if you have any inquiries or requests concerning our handling of personal information.