Nomura Group Privacy Policy AEJ

Overview

Nomura values the personal data entrusted to us by visitors to our corporate Nomura websites, as well as our clients, prospective clients and others who provide personal data to us from time to time.

This Privacy Policy sets out the basis on which we will process any personal data collected from you or that you provide to us via our websites or otherwise and to the extent permitted by law.

"Personal data" means any information that relates to and from which a living individual can be identified. The scope is broad and the definition is not always the same in every country. Examples of personal data include name, residential address, email address, phone number, national insurance, ID or passport number or such other information which relates to and can identify the individual. Some jurisdictions also include the concept of "sensitive personal data" which may include financial and tax information, health and medical records, and information on race, religion, age, sexual orientation and similar issues.

"Nomura Group" means Nomura Holdings, Inc. and all of its affiliates and subsidiaries. As used throughout this Privacy Policy, the terms "Nomura" or "we" or "our" refer to Nomura Group companies in Asia ex-Japan (AEJ)*1 and any other Nomura Group entity with whom you or your organisation has a transactional or client relationship.

1 These include without limitation Nomura Australia Limited, Nomura Securities Co. Ltd., Beijing and Shanghai Representative Offices, Nomura Financial Advisory and Securities (India) Private Limited, Nomura Fixed Income Securities Private Limited, PT Nomura Sekuritas Indonesia, Nomura Securities Philippines, Inc., Nomura Financial Investment (Korea) Co., Ltd., Nomura Securities Malaysia Sdn. Bhd., Nomura Singapore Limited, Nomura International (Hong Kong) Limited, Taipei Branch, Capital Nomura Securities Public Company Limited, and Nomura International (Hong Kong) Limited, Hanoi Representative Office, each of which may be a data controller and/or data processor in relation to personal data, as the case may be.

General principles

Nomura will maintain the highest standard of care in processing your personal data, in accordance with all relevant laws, regulations and guidelines issued by the relevant authorities from time to time, as well as applicable internal policies. Key data protection principles that we adhere to include the following:

  • Personal data (as defined under the relevant local law) will be collected and processed in a lawful and fair manner, in compliance with all relevant laws and regulations.
  • Personal data will be used only for purposes which are listed below in the sub-section "How we use your personal data" or which are otherwise notified to you from time to time, and/or such other purposes as required or permitted by applicable laws and regulations.
  • Appropriate technical and organisational measures will also be taken against unauthorised or unlawful processing of personal data and against accidental loss or destruction of, or damage to, personal data.
  • Nomura will (i) have, or implement as required, appropriate control systems to ensure that its employees, agents or contractors are properly apprised of their obligations under applicable laws and regulations as well as relevant internal policies, and (ii) require its external service providers which provide services to the Nomura Group to have proper controls and procedures in place to protect personal data provided to them.
  • Nomura will not keep personal data for longer than is necessary for the specified purpose(s) unless otherwise required by overriding legal/regulatory requirements or internal document retention policies.
  • All requests for the access or correction of the personal data we hold about you and/or withdrawal of your consent in respect of our processing of your personal data shall be carried out in accordance with all relevant laws and regulations.

Processing of your personal data

How we use your personal data

We may use the personal data that you provide to us in connection with the provision of services or research to you, facilitation and administration of business dealings with you, administration of any features or services of our websites for the purposes of that feature or service, and/or such other purposes as required or permitted by applicable laws and regulations. We may also use your personal data to communicate with you about topics that we believe may be of interest to you or otherwise provide marketing information or materials to you from time to time about products and services of the Nomura Group, provided, if required by relevant law or regulation, you have given us separate prior express consent to send you this information. You are entitled to tell us if you do not wish to receive such communications (see "Your rights" below).

While processing your personal data, we have implemented and will continue to maintain administrative, technical and physical safeguards to protect your personal data from loss, misuse, unauthorized access, disclosure, unauthorized alteration or unlawful destruction.

How we share your personal data

We may share your personal data with other Nomura Group entities or third parties for the purposes set out below including without limitation the following:

  • any Nomura Group entity which may be located in or outside the AEJ region in connection with the operation of its business, or the provision of Nomura corporate, back office or IT services or otherwise in connection with any of the purposes expressed in the sub-section "How we use your personal data" or otherwise notified to you from time to time;
  • any agent, contractor or third party service provider who provides services to Nomura in connection with the operation of their business, to the extent necessary to perform services on our behalf or to comply with legal and/or regulatory requirements;
  • any governmental agency or entity, regulatory authority, or other public authority or persons, to the extent necessary for us to comply with any laws, rules, orders, subpoenas, official requests, or similar processes which apply to Nomura anywhere in the world, or as required in connection with any investigation or legal proceedings;
  • any actual or proposed purchaser of all or part of the business of Nomura or the Nomura Group or, in the case of any merger, acquisition or other public offering, the purchaser or subscriber for shares in Nomura or a member of the Nomura Group, and their advisors and financiers; and
  • any other third party for any purpose for which Nomura may deem such provision necessary including to ensure compliance with a legal obligation or pursuant to a written request by a government/statutory entity.

As we operate globally, your personal data may be transferred to a Nomura Group company or to third parties providing services to a Nomura Group company. Such data may also be stored in overseas locations (including without limitation Japan, the United Kingdom, the United States, etc.) by any such entity. When transferring your personal data to such third parties, we will take all appropriate steps to provide an adequate level of protection for your personal data in accordance with relevant laws and regulations. These steps may include, where appropriate, use of suppliers that adhere to applicable international standards, requiring service providers to agree to appropriate contractual protections and/or put in place appropriate technical and organizational security measures in respect of the processing of personal data, and exercising audit and inspection activities in respect of the actions of those third parties in connection with the use of your personal data.

Collection of your personal data from our websites

When you visit our websites, we may collect personal data from you that you voluntarily provide to us in order to allow us to provide certain services to you or to provide general marketing information to you. You may, for example, provide us with your personal data when you:

Communicate with us through the Feedback link on our websites

The information you provide will enable us to respond to your questions and comments, and our Research Department may also use the information to communicate with you about topics that we believe may be of interest to you.

Apply for a job or internship at Nomura

Our Human Resources department will use the information you submit in connection with your job or internship application at any Nomura Group company.

Sign up for news release subscription services

The Nomura Group Investor Relations department will use the information you provide to send you the communications you request, and we may also use the information to communicate with you about other topics that we believe may be of interest to you. (Note: In some AEJ countries, you will have to provide your prior express consent to Nomura to participate in such news release subscription service by agreeing to the terms and conditions of Nomura's News Release Subscription Service Agreement.)

Request copies of our annual report(s)

The Nomura Group Investor Relations department will use the information you provide to fulfil your request for copies of Nomura's annual reports.

Apply to attend a Nomura sponsored or hosted event

Our Corporate Events department will use this information to register you for the event and contact you with information relating to the event, and we may also use the information to communicate with you about other Nomura events and topics that we believe may be of interest to you, provided, if required by relevant law or regulation, you have given us separate prior express consent to send you this information.

View Nomura video content

Information will automatically be collected from you by the Nomura Group Investor Relations, Human Resources and Corporate Events departments, such as technical information about your computer or internet browser.

Note: Above are examples of circumstances where we may collect personal data from you, and are not exhaustive.

The personal data that we collect from you may include: your name; your email address; the company for whom you work; your company's address; your telephone number; the country where you live; your curriculum vitae (for applications for jobs or internships); or dietary requirements (for applications to attend a Nomura hosted or sponsored event).

We may also automatically collect information about you, such as technical information about your computer or internet browser. Examples of collection of information by automated means include the following:

Cookies*2

Our use of cookies lets your browser navigate through our websites efficiently and helps us understand how our websites are being used and assists us in ensuring that we are providing an optimum service to you by allowing us to: (a) recognize your device so you don't have to give the same information several times during one visit; (b) recognize that you may already have given a username and password so you don't need to do it for every web page requested; and (c) measure how many people are using our online services, so that we can make them faster and easier to use. For further information on the cookies set by our websites (and other similar tools that we use such as web beacons), and the options available to you to control their use, please click on the link about "Cookies"

IP addresses*3

Our servers record your IP address together with the date and time of your visit at our websites; such information is used for demographic and statistical purposes, including determining the number of visitors to our websites in any given period and analyzing patterns of use of our websites.

Information may also be collected about you indirectly through monitoring activities which will be conducted by us or on our behalf in accordance with relevant legislation or regulatory requirements (for example, monitoring e-mails that we receive from you or recording telephone calls when you contact us). We will only access your information in connection with these activities when it is necessary for compliance with our internal policies and/or applicable laws and regulations, or to protect our business.

Note: Our websites provide links to other third party websites that operate independently from us and are not under our control. These third party websites may have their own privacy notices or terms of use, which we strongly recommend you review if you visit any linked websites. We are not responsible for the content of these linked websites or any products or services that may be offered through these linked websites, or any other use of the linked websites.

2 Cookies are text files containing small amounts of information, which your computer or mobile device downloads when you visit a website. When you return to our websites, or visit other websites that use the same cookies, they recognize these cookies and therefore your browsing device.

3 An IP address is an assigned number, similar to a telephone number, which allows your computer to communicate over the internet.

Your rights

You are entitled to access any of the personal data that we hold about you by submitting a written request to the AEJ Data Protection Officer or one of the designated persons or officers in your jurisdiction (see details provided below). You are also entitled to ask us to correct, cancel or delete any of your personal data where you believe such information is inaccurate or out of date. To the extent permitted by applicable law, reasonable fees may be charged by Nomura for complying with your request(s) to access personal data that Nomura holds about you.

To exercise your rights of access, cancellation or correction, to opt-out of receiving marketing about products and services that we believe may be of interest to you, or if you would like to raise any other questions relating to privacy, please submit a written request to the AEJ Data Protection Officer or one of the designated persons or officers in your jurisdiction (see details provided below) .

Australia, New Zealand Australia Legal & Compliance representative
(johanna.finlayson@nomura.com)
India Grievance Officer
(preeti.nair@nomura.com)
Singapore Singapore Data Protection Team
(sindataprotection@nomura.com)
South Korea Chief Privacy Officer
(rebecca.choi@nomura.com)
China, Hong Kong, Indonesia, Malaysia, Philippines, Taiwan, Thailand, Vietnam AEJ Data Protection Officer
(dataprotectionofficer@nomura.com)

Note: Your personal data may be contained in an archived electronic back-up file made in accordance with Nomura's normal operating, security and/or disaster recovery procedures provided that such data is deleted from hard drives and servers which are accessible on a day-to-day basis and, except as otherwise required by law or regulation, no attempt is made to recover such data from such back-up file.

Changes to our Privacy Policy

From time to time, we may change this Privacy Policy. Any changes that we may make to our Privacy Policy will be posted on this page.

This version of the Privacy Policy is effective December 12, 2017.