Procedures for Requesting Disclosure, Etc.

Mizuho Securities Co., Ltd. (Business Operator Handling Personal Information)

1. Please refer to “Intended Use of Customers’ Personal Information” for the intended use of the personal data held by the Company.

2. With respect to personal data the Company holds and records of provision to a third party, the Company will follow the procedures below to respond to requests from customers for disclosure, correction, addition or deletion, suspension of usage, elimination, and suspension of provision of personal information to a third party, etc. (hereinafter referred to as “request for disclosure, etc.”).
A request for disclosure, etc. cannot be accepted in cases when personal identification cannot be confirmed, when the right of the proxy cannot be confirmed in the case of a request by a proxy, or when the prescribed request form is not filled out appropriately. Please fully understand the procedures below and cooperate in providing information necessary for identifying personal data held and records of provision to a third party that are requested to be disclosed, etc. (in order to ensure the accuracy and up-to-date status of personal data held, if there is any change in the content of the registration, please notify the branch where the customer holds an account immediately).
In addition, please note that there may be cases in which we are unable to respond to a request for disclosure, etc. due to laws and regulations and the like.

3. Procedures for requesting disclosure

(1)   Based on the provisions of the Act on the Protection of Personal Information, a customer (or a proxy) may request that the Company disclose the personal data held concerning a customer and the records of provision to a third party.
(2)   The contact for a “request for disclosure” is the branch where a customer holds an account. We accept requests at our branches or by postal mail.
(3)   The documents to be submitted in relation to a “request for disclosure” include

i.   Application for request, prescribed by the Company:
-   “Application for disclosure of personal data held and records of provision to a third party”
ii.   Personal identification documents*:
A duplicate copy of a driver’s license, health insurance card, passport (Note), resident card, or special permanent resident certificate, etc.
(Note)   Passports issued on or after February 4, 2020, cannot be used as identification documents because they do not have an address field.

iii.   Application by a proxy*:
-   For a statutory proxy (a person with parental authority or a guardian of an adult): a document proving the statutory proxy status
-   For a privately appointed proxy: “power of attorney” prescribed by the Company and the seal registration certificate of the proxy
*Please contact the inquiry window for details.

(4) In response to a “request for disclosure”
We will respond by the following method within 10 business days from receiving your request in principle. When filling in the required items on the application prescribed by the Company, please specify the disclosure method in the following manner.

i.   Method by providing electromagnetic records
A PDF file of the response prescribed by the Company will be stored in the USB memory stick prescribed by the Company and mailed to the address of the applicant.
ii.   Method in writing
A response prescribed by the Company will be mailed to the address of the applicant.
(Note)   The response to the request will be mailed to the applicant even if the request has been made by a delegated agent or by a proxy with power of attorney.
When the request was made by a statutory proxy or by a legal agent, the response to the request will be mailed to the said statutory proxy or legal agent.

(5) Disclosure fee

i.   The following fee will apply for requests for disclosure:
-   A fee of 1,100 yen for each application prescribed by the Company (including consumption tax)*
*We may disclose items other than those set forth in the application prescribed by the Company.
In that case, fees will be added according to the information to be disclosed.
-   An additional fee of 1,100 yen (including consumption tax) will be charged in case of USB memory
ii.   Please pay the fee by either deduction from an MRF held at the Company or by bank transfer.

(6) Refusal of disclosure
In accordance with laws and regulations, etc., we regret to say that a request for disclosure may be refused if any of the following cases are found. When we need to turn down the request, we will notify the applicant of the fact of refusal together with the reason.

i.   When the required fee is not paid*;
ii.   When the information requested for disclosure is not “personal data held”;
iii.   When it is difficult to identify or impossible to easily search for “personal data held” that is requested to be disclosed;
iv.   When confirmation and keeping records of provision to a third party is not legally applicable to the information requested to be disclosed;
v.   When there is a risk of harming the life, health, property or other rights or interests of the person who requested disclosure, or of a third party;
vi.   When the proper operation of the Company’s business may be significantly hindered; and
vii.   When the disclosure could violate other laws or regulations, etc.
*We will issue a notification if the amount of the fee paid was not sufficient, or if payment is not made. If payment is not made within a prescribed period, we will treat the case as if there was no request for disclosure.

4. Procedures for requesting correction, etc.

(1)   Based on the provisions of the Act on the Protection of Personal Information, a customer (or a proxy) may request that the Company correct, etc. (correct, add or delete) the personal data held concerning a customer.
(2)   The contact for a “request for correction, etc.” is the branch where a customer holds an account. We accept requests at our branches or by postal mail.
(3)   The documents to be submitted in relation to a “request for correction, etc.” include

i.   Application for request, prescribed by the Company:
-   “Application for correction, etc. of personal data held”
ii.   Personal identification documents*:
A duplicate copy of a driver’s license, health insurance card, passport (Note), resident card, or special permanent resident certificate, etc.
(Note)   Passports issued on or after February 4, 2020, cannot be used as identification documents because they do not have an address field.

(4) In response to a “request for correction, etc.”
A written response will be sent to the individual within 10 business days after receiving the request (the response to the request will be mailed to the applicant even if the request has been made by a delegated agent or by a proxy with power of attorney).
When the request was made by a statutory proxy or by a legal agent, the response to the request will be mailed to the said statutory proxy or legal agent.
(5) Refusal of correction, etc.
In accordance with laws and regulations, etc., we regret to say that the request for correction, etc. may be refused if any of the following cases are found. When we need to turn down the request, we will notify the applicant of the fact of refusal together with the reason.

i.   When the content of the request for correction, etc. is not true or when the authenticity of the request could not be confirmed;
ii.   When a special procedure for the correction, etc. is prescribed by the provisions of any law or regulation other than the Act on the Protection of Personal Information; and
iii.   When making correction, etc. is not necessary for achieving the intended use of the personal data held by the Company.

5. Procedures for requesting suspension of use, etc.

(1)   Based on the provisions of the Act on the Protection of Personal Information, a customer (or a proxy) may request that the Company suspend the use, etc. (suspension of use and elimination, suspension of provision of personal information to a third parties) of the personal data held concerning a customer.
(2)   The contact for a “request for suspension of use, etc.” is the branch where a customer holds an account. We accept requests at our branches or by postal mail.
(3)   The documents to be submitted in relation to a “request for suspension of use, etc.” include

i.   Application for request, prescribed by the Company:
-   “Application for suspension of use, etc. of personal data held”
ii.   Personal identification documents*:
A duplicate copy of a driver’s license, health insurance card, passport (Note), resident card, or special permanent resident certificate, etc.
(Note)   Passports issued on or after February 4, 2020, cannot be used as identification documents because they do not have an address field.

(4) In response to a “request for suspension of use, etc.”
A written response will be sent to the individual within 10 business days after receiving the request (the response to the request will be mailed to the applicant even if the request has been made by a delegated agent or by a proxy with power of attorney).
When the request was made by a statutory proxy or by a legal agent, the response to the request will be mailed to the said statutory proxy or legal agent.
(5) Refusal of the suspension of use, etc.
In accordance with laws and regulations, etc., we regret to say that the request for suspension of use, etc. may be refused if any of the following cases are found. When we need to turn down the request, we will notify the applicant of the fact of refusal together with the reason.

i. When the content of the request for suspension of use, etc. is not true or when the authenticity of the request could not be confirmed; and
ii. When the suspension of use, etc. requires a considerable cost or otherwise makes it difficult to conduct the suspension of use, etc., and when necessary alternative measures are taken to protect the customer’s rights and interests.

6. For the intended use of the information obtained in relation to a “request for disclosure, etc.,” the information will be used only within the scope required for the request for disclosure, etc. The document submitted will be discarded after being stored for a period of five (5) years.

7.   For inquiries on the handling of personal data held
If you have any questions about the handling of personal data held by the Company, please call or write to the branch where a customer holds an account or the following contact.
-   Department responsible for receiving complaints: Customer Relations Office
-   Otemachi Tower, 1-5-5 Otemachi, Chiyoda-ku, Tokyo 100-8176
-   Toll-free number: +81-120-324-051
-   Reception hours: Monday to Friday, 8:40 a.m. to 5:10 p.m.
Excluding December 31 through January 3, national holidays, substitute holidays, and public holidays