Aizawa Asset Management Co., Ltd. (the “Company”) establishes and complies with the following Privacy policy(the “Privacy policy”) as a guideline to protect personal information retained. The Company will continually protect and appropriately handle personal information in accordance with the following guidelines and will fully comply with all applicable legislation regarding privacy protection.
1. Use of personal information
Use of personal information of a client will be within the scope of achieving a purpose, except in cases where consent has been received by the customer, or otherwise required by law. Personal identification numbers will only be used within the limitations of the law.
2. The Company will use the personal information obtained for the following purposes
- To conduct the affairs stipulated on the investment advisory and / or the discretionary investment management agreement(s).
- To provide clients with investment advisory services
- For client reporting purposes
- To provide information for the purpose of solicitation, sales and investment of the Company’s products and services, including Type II financial instruments business, discretionary investment contracts and investment advisory contracts
- To conduct client transactions efficiently, etc.
- For identity verification purposes for either the client or the client’s agent
*The Company will specify the purpose of use of personal information.
*The Company will not use any personal information without their prior consent other than the purpose specified in previous items.
*Any use of personal information obtained during the Company’s hiring process, will be used exclusively for that hiring process.
3. Acquiring personal information
The Company will acquire personal information necessary to conduct business in an appropriate and lawful manner.
Main sources of personal information
- Information provided by clients on documents exchanged during transactions or on questionnaires, etc.
- Information contained in publications including, but not limited to “Kaisha Shikiho” or “Yakuin Shikiho,” or information published on the internet or in newspapers
- Information obtained from clients in the course of providing products and services (Phone conversations are recorded for accuracy and the improvement of the quality of service).
- Call logs and recorded calls that are either received by a customer or made to a client.
- Other information legitimately obtained (including employee
information)
4. Providing personal information to third parties
The Company may provide necessary personal information to third parties in compliance with the Act concerning Protection of Personal Information (Japan Law No. 57, 2003) when prior consent of the person is given, consignment is committed for the use within the extent of the purpose, based on laws and regulations, and considered necessary to protect clients or public interest. While the Company may outsource to a third party as necessary, there are currently no agreements in place that allow third parties to any personal information.
5. Managing personal information
The Company will endeavor to maintain the latest and accurate personal information. In addition, the Company will take appropriate measures to ensure the prevention of any unintentional disclosure, loss, alteration and destruction of a client’s personal information by implementing security control measures and the proper training and supervision of officers, employees and outsourced contractors.
6. Restriction on provision to third parties
The Company will not provide personal information to third parties without prior consent of the individual, except as required by law provided in the Personal Information Protection Law and related laws and regulations.
7. Requesting information regarding the provision of your personal data to a third party located in a foreign country
In the event that a client’s personal information is identified at a third party in a foreign country after the fact that the Company has provided your personal data to such third party, the customer may request the Company to provide the customer with the name of the foreign country, information about the country’s regulations on personal information protection, and measures taken by the third party to protect client information.
In addition, no consent is required if the Company provides personal data to an entity deemed to have established a system that conforms to the standards as necessary to continuously take measures equivalent to those required to be taken by operators handling personal data (hereinafter referred to as “equivalent measures”), however, a client may request the Company to provide necessary information.
8. Disclosure and correction of personal information
When disclosure, correction, discontinuation of use, and deletion of retained personal information is requested by the person, the Company will take sincere and accurate steps with the least delay in compliance with the laws and regulation after confirming that it is a request from the person himself/herself. If a request for disclosure as to whether or not the company retains personal numbers, the Company will provide an answer to whether or not we retain personal numbers.
9. Questions, comments and complaints
The Company strives to handle any questions, comments and complaints promptly and in good faith. For any clarification about the Company’s treatment of personal information, please reach out to the Company’s operations department in writing to the email address below.
E-Mail: aizawa-info@aizawa-am.co.jp
The Company is a member of the Japan Investment Advisers Association, an authorized personal information protection organization accredited by the Personal Information Protection Commission. The association’s complaints office handles complaints and consultations regarding the handling of personal information by association members.
Japan Investment Advisers Association
TEL 03-3663-0505／FAX 03-3663-0510
10. Updates to this Privacy policy
To ensure the proper handling of a client’s personal information, this Privacy policy will be reviewed from time to time and may be revised in part or in its entirety.
Please refer to the Company website for the latest updated Privacy policy.