Handling of Personal Information

Privacy Policy

SBI Investment Co., Ltd. acquires and uses names, addresses, telephone numbers and other information of investors (hereinafter referred to as "customers") in the course of its investment business in unlisted companies, etc. (hereinafter referred to as "the Business"). We recognize that the proper protection of the personal information of our customers (hereinafter referred to as "personal information") is a serious responsibility, and in order to fulfill this responsibility, we handle personal information under the following policy.

  • 1.
    We consider personal information to be an important asset, and have established and will comply with management regulations regarding the collection, use, and provision of personal information.
  • 2.
    We will take appropriate security measures to prevent unauthorized access to, loss, destruction, falsification, or leakage of personal information.
  • 3.
    In the unlikely event of an incident or accident involving unauthorized access, loss, destruction, falsification, or leakage of personal information, we will promptly take corrective measures.
  • 4.
    We will comply with laws and regulations related to personal information and other standards.
  • 5.
    We have established a compliance program for the protection of personal information, and will continue to review and improve the program in order to manage personal information more appropriately and respond to the surrounding environment.

Established: April 1, 2005
Revised: April 3, 2006
SBI Investment Co., Ltd.
Representative Director & Chairman  Yoshitaka Kitao

1. Personal Information Officer

SBI Investment Co., Ltd. (hereinafter referred to as "our company") has established the post of Personal Information Officer in the course of the Business.

Personal Information Officer: SBI Investment Co., Ltd. Takeshi Nakamichi, Executive Vice President and Director.

2. Purpose of Use

In doing the Business, our company collects needed personal information about customers. Your personal information is used for the purposes stated below.
In this case, our company will conclude a contract with the subcontractor regarding the handling of personal information and supervise the subcontractor appropriately.

  • 1.
    For operation and management of the Business
  • 2.
    To send annual reports, etc.
  • 3.
    To pay distributions.
  • 4.
    To provide information on products and services of our company or its affiliated companies.
  • 5.
    To respond to inquiries.

3. Third Party Disclosure

The company will not disclose your personal information to any third party except as outsourcing parties, or as described below.

  • 1.
    We may use your personal information upon your consent.
  • 2.
    We may use data related to a customer for statistical calculations if such data does not reveal the identity of a customer.
  • 3.
    We may use your personal information if required by law.
  • 4.
    We may use your personal information to protect human life, body or assets if obtaining your consent for some reason proves difficult.
  • 5.
    We may use your personal information to improve public health, to promote child development, or for some other special situation if obtaining your consent for some reason proves difficult.
  • 6.
    We may use your personal information to cooperate with a national institution, a local public body, or a related outsourcer that must perform work to comply with Japanese law if obtaining your consent would be an obstacle to performing the relevant work.
  • 7.
    We may use your personal information to provide the parties listed in the following paragraph 4.

4. Common Use of Personal Information

The company may allow common use of personal information listed in Item (1) "Items of Personal Information Subject to Common Use" held by the company among the parties described in Item (2) "Parties Authorized for Common Use". Notwithstanding the foregoing, personal information regarding recruitment described in Item (1)d may only be used for the purpose described in Item (3)e. Also, if certain common use is restricted under relevant laws or regulations, such as the Financial Instruments and Exchange Act and Insurance Business Act, personal information will be handled in compliance with such laws or regulations.

  • 1.
    Items of Personal Information Subject to Common Use
    • a.
      An individual's name, address, date of birth, contact information, such as telephone number and e-mail address, information on transaction needs publicized information, and other information relating to one's personal attribution.
    • b.
      Transaction records, point information, type of products and services offered to customers, and other information relating to individual transactions.
    • c.
      Control numbers, such as customer and transaction numbers, and other information necessary for management of transactions.
    • d.
      Information on applicants in recruitment of the SBI Group Companies, applicant's name, gender, date of birth, address, contact information such as the telephone number and e-mail address, educational background, professional experience, reason for application, and other information relating to recruitment of SBI Group Companies.
  • 2.
    Parties Authorized for Common Use

    The SBI group companies listed on the following website (hereinafter, the "SBI Group Companies"). Notwithstanding the foregoing, parties authorized for common use may be changed from time to time as needed.
    http://www.sbigroup.co.jp/english/company/group/overview.html

  • 3.
    Purpose of Common Use
    • a.
      On the Occasion of Use of SBI Group Companies' Services as a Registered Member
      For personal identity authentication at and after log-in, automatic display of membership information in various situations, and other purpose related to improvement of the registered members' convenience when using SBI Group Companies' services.
    • b.
      Execution of Transactions with SBI Group Companies
      For delivery of products, provision of services, settlement of price, response to inquiries, confirmations by SBI Group Companies, provision of applicable after-sales services and other purpose related to operations necessary to execute a transaction when a customer is making reservations and purchasing products or services, applying for a prize competition, or otherwise engaging in transactions with SBI Group Companies.
    • c.
      Advertising and Marketing by SBI Group Companies
      • *
        For provision of information by SBI Group Companies through various e-mail newsletter.
      • *
        For provision of information regarding SBI Group Companies' services through e-mail, mail, and telephone.
      • *
        For provision of contents and advertisements in light of personal attribution, such as gender, age, residence, hobbies, and taste, as well as purchase history, or browsing history of websites managed by SBI Group Companies.
      • *
        For development of new services and improvement of existing services by analyzing customers' usage of SBI Group Companies' services.
      • *
        For drawing of prizes for surveys, campaigns, and prize competitions, as well as shipping, and contacting to applicants for matters relating to such drawing of prizes.
    • d.
      Response to Inquiries
      For response to inquiries directed to SBI Group Companies by e-mail, mail, or telephone, etc.
    • e.
      Recruitment
      Personal information regarding applicant's personnel information, including resume, submitted for the purpose of seeking an employment opportunity at SBI Group Companies, will be used for evaluation and selection process of recruitment.
    • f.
      Other Incidental Use
      For use necessary for provision of SBI Group Companies' services that are incidental to the abovementioned items a through e.
    • g.
      Others
      SBI Group Companies may use, in course of providing their services to customers, personal information for purpose other than the purposes listed in the items a through f above. In such case, such use will be disclosed on an applicable website on which SBI Group Companies provide the relevant services
  • 4.
    Name of the Company Responsible for the Management of Personal Information
    SBI Holdings, Inc.
  • 5.
    For Inquiries Related to Common Use
    General Affairs & Human Resource Department, SBI Holdings, Inc.
    Telephone number (main): +81-3-6229-0100

5. Use of attribute information and other information provided by Google Inc.

In order to improve the quality and convenience of our services, the company use Google Analytics, an access analysis service provided by Google Inc. to collect information on the page browsing status of visitors to our website without identifying individual users.
In addition, through the use of additional functions of Google Analytics, we collect the following information (hereinafter referred to as "attribute information, etc.") from Google Inc.

    • Attribute information (age, gender), interests and concerns of the customer as statistically inferred from the customer's use and browsing history of Google's advertising services, etc.
    • *
      You may change the demographic information statistically inferred by Google Inc. by accessing Google Inc.'s "Advertising Preferences".
    • *
      The information we collect from Google Inc. does not include any information that identifies you as an individual.
    • *
      If you are not using Google Inc.'s advertising services, we will not collect any attribute information.

The Company and third party service providers including Google Inc. may use a combination of first party cookies (e.g. Google Analytics cookies) or other first party IDs and third party cookies (e.g. DoubleClick cookies) or other third party IDs to collect information about you when you visit our site. We use this combination to analyze the attributes and interests of users who visit our site. In addition, we collect your ad browsing and clicking history, as well as the history of your use of websites other than ours, and use this information to distribute advertisements by our group companies.

If you wish to disable the acquisition of attribute information, etc. by the company using Google, please follow the instructions below.
https://tools.google.com/dlpage/gaoptout

6. Disclosure

If you ask to see personal information that our company has about you, we will first verify your identity then provide a timely and appropriate response.

7. Revision, etc

If you want to revise, etc personal information that the company has about you, we will first verify your identity then revise, etc information in a timely and appropriate manner.

8. Use Termination, etc

If you want the company to stop using your personal information and to delete it, we will first verify your identity then stop using your information and delete it in a timely and appropriate manner.
In addition, we may not be able to abide by your request to stop using or to delete personal information due to related laws and regulations.

9. Disclosure Inquiries

The company accepts applications related to Sections 6, 7 and 8 inquiries about personal customer information by postal service. The company may not be able to respond to your application or inquiry if you do not follow the guidelines below. You will be given details about how to proceed once you make an inquiry. However, when you use the method below, we will first verify your identity (or proxy); then we will respond to your inquiry by letter delivered through the postal service or by some other method.

<<inquiry counter>>
Izumi Garden Tower 19F, 1-6-1 Roppongi, Minato-ku, Tokyo, 106-6019 Japan
SBI Investment Co., Ltd. Personal Information Inquiry Desk

<<Verification of you or your proxy>>
If the application is made by the customer, we will confirm the customer's identity with a driver's license, health insurance card, or seal registration certificate.
In the case of an application from a proxy, we will confirm the proxy's identity by checking the seal registration certificate or by a call.

Above.


Established: April 1, 2005
Revised: November 30, 2020