Nomura Financial Products & Services | Privacy Policy

Nomura Financial Products & Services, Inc. Privacy Policy

Nomura Financial Products & Services, Inc. ("Nomura") and all of its officers and employees will comply with the Personal Information Protection Act, Act on the Use of Numbers to Identify a Specific Individual in the Administrative Procedure, and its relevant laws and regulations as well as applicable guidelines from regulatory authorities and has established the basic policy as follows:

  1. Nomura will collect personal information including Individual Number ("Personal Information, etc.") in a manner consistent with relevant laws and regulations and take necessary measures to ensure that such personal information is correct and up-to-date.
  2. Nomura will use Personal Information, etc. only for the purposes for which notification has been given. Individual Number, in particular, will only be used in accordance with relevant laws and regulations. Nomura shall not disclose or provide personal information to any third party without the consent of the individual unless required by laws or regulations or other appropriate reasons.
  3. Nomura will provide thorough training to its officers and employees in order to prevent the leakage or inappropriate use of Personal Information, etc. In addition, Nomura will appoint managers responsible for control and inspection and establish appropriate management system of personal information.
  4. In the event that Nomura provides Personal Information, etc. to an external contractor, Nomura will take responsibility for ensuring that said external contractor has proper management systems in place to protect the privacy of such Personal Information, etc.
  5. Nomura will handle all requests from individuals for the disclosure, correction and usage termination of Personal Information, etc. in accordance with relevant laws and regulations. In such cases, Nomura may ask such individuals to pay costs as prescribed.

If you have any questions concerning personal information such as purposes of using Personal Information, etc., the disclosure, correction and usage termination, etc., please don't hesitate to contact Nomura in charge of your account.
When you request the disclosure of Personal Information, etc. we will ask you to fill in our form with necessary documents to verify your identification.

Nomura Financial Products & Services, Inc.
President and Representative Director, Eiji Otsu
2-2-2 Otemachi Chiyoda-ku, Tokyo JAPAN

Nomura Financial Products & Services, Inc.

Nomura will review and make improvements as necessary to the personal information privacy management system.

Nomura is a member of the Japan Securities Dealers Association, one of the personal information protection organizations recognized by the Personal Information Protection Commission. Personal Information Consultation Office of the Japan Securities Dealers Association will handle complaints or consultation concerning its member companies' treatment of personal information.

[Japan Securities Dealers Association]
Personal Information Consultation Office (KojinJouhou Sodan-Shitsu)
Phone: 81-3-6665-6784

Japan Securities Dealers Association

How We Use Personal Information

  1. For soliciting, offering and managing securities, financial products, financial transactions and any other products, and providing information regarding Nomura's services
  2. For soliciting and offering financial products of and providing information regarding services of Nomura or its affiliated companies and introducing such affiliated companies
  3. For determining according to the suitability rule whether it is appropriate to provide products or services
  4. For confirming your identity or the identity of your agent
  5. For reporting the transaction results or outstanding balance to you
  6. For administrative work regarding transactions with you or your counterparties
  7. For exercising rights or performing obligations under relevant agreements with you or relevant laws or regulations
  8. For research or development of financial products or services by market research, data analysis and questionnaire survey
  9. In the event Nomura is delegated by other companies to process whole or part of personal information, for completing such processing properly
  10. For executing properly and smoothly transactions with you or your counterparties
  11. For fore-mentioned purposes even after termination of client relationship

Please note that, in accordance with the Ordinance of Cabinet Office Concerning Regulation, etc. of Conducts of Securities Companies, Nomura shall not use or provide to any third party sensitive personal information unless required for proper business operations or other legitimate reasons.
We may from time to time record telephone conversation with clients.

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.

  1. Items of personal data for shared use
    • Customer information including the name, address, birthdate, telephone number, employment and transactional needs.
    • Information relating to customer transactions including the details of the transactions and assets under custody.
  2. Scope of entities to be shared
    • Nomura Holdings, Inc. and its consolidated subsidiaries so specified under certain financial statement reports (including "yukashoken houkokusho") of Nomura Group.
  3. Purpose of shared use
    • For the purpose of Nomura Group's business management and internal control including integrated compliance and risk management.
  4. Name of the company responsible for management of personal data

How to Obtain Personal Information and Outsourcing Business and Operations for Handling Personal Information

We mainly obtain Personal Information through our client's filling in account opening form or responding to inquiries as well as through our client's provision of the relevant information.

Main outsourcing business and operations for handling Personal Information are as follows.

  • For providing professional advice such as legal or accounting advice
  • For managing or maintaining IT systems
  • For maintaining regulatory required documents

Security Measures for Protection of Personal Data and Transfer of Personal Data to Foreign Countries*

Transfer of Personal Data to foreign counties means that Personal Data is available by a third party in foreign countries and/or jurisdictions including the situation where Personal Data is available through using network or other tools without providing the Data physically.

Security Control Measures for Protection of Personal Data

In accordance with Financial Instruments and Exchange Act, Personal Information Protection Act, the Japan Securities Dealers Association Rules and the relevant guidelines and regulations we take appropriate security measures to protect personal data as follows.

(Maintenance of Internal Rules for Protection of Personal Data)

  • We introduce and maintain Information Security Management Regulations to protect information assets and to implement information security appropriately.

(Systematic Security Control Measures)

  • We appoint the Chief Information Security Officer ("CISO") from the officers. CISO takes the role and responsibility to implement information security as the Personal Data Protection Officer defined under "the Implementation Policy for Financial Industry Guidelines" (the "Implementation Policy") introduced by Personal Information Protection Commission and the Financial Service Agency. Each Head of Department is appointed as the Information Security Manager defined under the Implementation Policy and takes the role and responsibility to implement information security, to manage information assets appropriately and to provide advice to employees in the Department.
  • When leakage of Personal Data has happened such event is immediately reported to the Information Security Manager. We periodically review the situation of Personal Data protection by ourselves and the Examination Division also inspects the situation.

(Physical Security Control Measures)

  • We strictly restrict on the employees' access to the scope of Information Assets. Any employee who does not have right to access Personal Data is blocked to access the Data. We also implement effective measures for devices, electronic media and documents containing Personal Data to protect the Data from leakage.

(Technical Security Control Measures)

  • We implement effective access control for person in charge to handle the scope of Personal Data. We also implement measures to block internal or external irregular access to the system containing Personal Data and to protect malware from accessing the system.

(Human Security Control Measures)

  • We periodically provide trainings about handling of Personal Data with due case to employees. Employees' confidential obligation for Personal Data is prescribed in Rules of Employment.

Transfer of Personal Data to Foreign Counties

I. Transfer of Personal Data to the third party after we confirm its compliance with our standards for Security Control Measures

We may transfer Personal Data to the third party in a foreign country when we periodically confirm its compliance with our standards for Security Control Measures.

Transferee Information
Overseas Main Affiliates of Nomura Group*1 and Overseas Business Operators*2 Personal Information of the representative, etc.(including the person in charge of transactions) of our client's legal entity

*1 Please see the below URL for Overseas Main Affiliates of Nomura Group.

Group Companies

*2 Overseas Business Operator is in United Kingdom.
You may request the information about Transfer of Personal Information regarding country name, data protection framework and equivalent measures for information security control in accordance with the relevant Personal Information Protection law and regulations. Please see the below URL of Personal Information Protection Commission for each country's data protection framework at
Personal Information Protection Commission, Japan (available in Japanese only).

II. Transfer of Personal Data to the third party when the client provides consent to transfer

We may transfer Personal Data to the third party in a foreign country with our client's consent to transfer Personal Data. In such case we disclose the relevant information to the client.

When you request the relevant information in I above, please request it to the department in charge of your account. When you request the disclosure of information, we will ask you to fill in our form with necessary documents to verify your identification.

This English translation is for information purposes only and is not to be relied on as the original terms and conditions. If there is a discrepancy between the original Japanese document and this English translation, the Japanese terms and conditions shall prevail. Nomura Financial Products & Services, Inc. does not accept any liability for the accuracy or completeness of this translation.

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