BNP Paribas Securities (Japan) Limited
Declaration of Employees Personal Information Protection

BNP Paribas, Tokyo Branch
Declaration of Employees Personal Information Protection

BNP Paribas Securities (Japan) Limited
Declaration of Employees Personal Information Protection

[Translation]
Declaration of Employees Personal Information Protection

BNP Paribas Securities (Japan) Limited (the “Company”) strictly manages any and all personal
information (hereinafter referred to as the “Employees Personal Information”) which the Company
acquires, stores and uses for the employment management of employees (including employees, those
who will be and wished to be hired by the Company, and those who were in the past hired by theCompany) in accordance with the Law Concerning Protection of Personal Information (hereinafterreferred to as the “Personal Information Protection Law”) and this Declaration of Employees Personal
Information Protection, and to keep the Employees Personal Information accurate and confidential.

1.

Compliance with Related Regulations

The Company abides by the Personal Information Protection Law, other related regulations
and other rules regarding the handling of the Employees Personal Information.

2.

Acquisition and Usage of Employees Personal Information

The Company may acquire or use employees’ names, addresses, sex, dates of birth,
telephone numbers, e-mail addresses, biographical data and such other Employees Personal
Information as may be required for employment management, for the purposes mentioned in thefollowing Paragraph 3.
In principle, the Company does not acquire, use or provide Employees’ personal
information which includes the following information unless it is required for special operational
needs or other business purposes or permitted by laws and regulations:・ Information concerning infectious diseases which are not extremely contagious or widespread at
the office, such as HIV or hepatitis B, and genetic information such as colorblindness test results;
and・ Information which may become a source of social discrimination such as information concerning
one’s race, social status, family origin, legal address on family registry, or information concerning
one’s belief or status of membership with a labor union.

3.

Intended Purpose for which the Employees Personal Information will be used

The Company uses the collected Employees Personal Information to the extent necessary toattain the following purposes and does not use it for other purposes:
・ For business communication, emergency contacts, and posting of documents;
・ For payment of compensation(including salary, bonus, and other allowances) and proceedings
concerning tax withholding;

1

・
・
・
・
・
・
・
・

4.

For decision of recruitment and performance appraisal, decision of assignment, and efficient
enforcement of rights over personnel;
For proceedings of benefits and their management;
For securing a healthy workplace, appropriate health administration for employees;
For proceedings relating to social insurance and employment insurance, and other legally-required
proceedings;
For proceedings for obtaining qualifications which are necessary to implement businesses such as
Securities Sales Representative License;
For reports and filing answering to any inquiries by regulatory authorities (including foreign
regulatory authorities), and litigation handling;
For contacts with retired employees; andFor appropriate and efficient implementation of other personnel and labor management, andbusiness administration of the Company.

Management of Employees Personal Information

The Company strives to keep the Employees Personal Information accurate and updated,
and to delete it without delay, if it ceases being required to be used. In order to prevent leakage, loss,
or damage to the Employees Personal Information, the Company sets up appropriate organizational
structures and takes strict security measures by setting up internal policies concerning the protection of
the Employees Personal Information and keeping them revised and updated.

5.

Provision of Employees Personal Data to Third Parties

The Company does not provide Employees Personal Information that is Personal Data (the“Employees Personal Data”) to any third party except when:
・ The person to whom the information relates agrees beforehand,・ The provision of the information is in accordance with the relevant laws and regulations,・ It is difficult to obtain consent from the person to whom the information relates, but the provisionof such information is necessary to protect the life, health, or property of a person or persons,・ It is difficult to obtain consent from the person to whom the information relates, but the provisionof such information is necessary to encourage the improvement of public health or childcare,・ It is necessary in order to cooperate with government organizations or local authorities, or thosecommissioned by the aforementioned entities, in the prosecution of duties provided in laws andregulations, for which the act of obtaining consent from the person to whom the information
relates may interfere; and・ The provision of the information is permitted under the Personal Information Protection Law.

6.

Joint Use

The Company may jointly use Employees Personal Data with BNP Paribas S.A. or otheraffiliate company belonging to the BNP Paribas group, as set out below. In the case where such2

affiliate company is located overseas, the Company will, as necessary, either obtain consent of theemployee concerned, or confirm that the affiliate company has taken the measures that are in line withthe purposes of the provisions of Section 1 of Chapter 4 of the Personal Information Protection Law
by way of its established privacy policy or otherwise.
Data to be jointly used
Employees’ names, datesofbirth,
addresses,
nationality, sex, title andother Employees Personal
Information
Information relating to thesalaryandothercompensationofemployees
Employees’ names, datesof birth, addresses, phone
number, nationality, sex,
title and other Employees
Personal Information

7.

Purpose of Joint Use

Person responsible formanaging the joint use
For
employment
management Head of Human Resources atpurposes, including for the purpose the Company
of promoting utilization of humanresources within BNP Paribas as agroup or designing the Group’s
human resources strategy.

For maintaining and enhancing Head of Compliance at thecompliance by BNP Paribas as a Company
group, including for the purpose ofreporting to or filing with theregulatory authorities (including
foreign regulatory authorities).

Request for Disclosure or Correction of Employees Personal Data

Any employee of the Company may ask to receive a notice regarding the purpose for which
his/her Employees Personal Data will be used, and may demand the disclosure, correction, addition ordeletion, suspension of usage or deletion or suspension of provision to third parties of, the Employees
Personal Data held by the Company in accordance with Personal Information Protection Law. In
order to make the abovementioned requests or demands, the employee must follow the procedure
indicated below.
Request liaison:
Human Resources Department
Documents for submission:・Please fill in the request form prescribed and submit it.
Disclosure/ Correction
request form:
Direct request from said ・Identification Documents:
person:BNP PARIBAS ID Card, Driver’s certificate, healthinsurance card, passport, certificate of alien registration,pension book
Request by an Attorney in ・Identification documents for said person and their AttorneyFact (person designated toin Fact: Driver’s certificate, health insurance card,
make the request,
passport, certificate of alien registration, pension bookguardian, proxy(Attorneys at law need to report their registration3

commissioned by said
person):numbers as well), and・Power of attorney or any other document certifying theagent’s authority

Other attachments

・For correction, addition or deletion, suspension of usage ordeletion, and suspension of provision to third parties:
documents providing the reasons for such measures
・We collect the actual costs for copying, postage fees andothers.
・We make a written response.

Charges:
Response by the Company:

8.

Modification of Declaration of Employees Personal Information Protection

In order to secure and manage the Employees Personal Information appropriately, theCompany will review and revise this Declaration of Employees Personal Information Protection asneeded. If the Company should make any significant modification, the Company will notify theemployees of such changes via the Company’s intranet web page or other appropriate means.

9.

Queries Concerning the Handling of Employees Personal Information

The Company accepts queries or complaints from employees with respect to the handlingof the Employees Personal Information at the following office.
BNP Paribas Securities (Japan) Limited
Employees Personal Information Liaison, Human Resources Department
GranTokyo North Tower, 1-9-1, Marunouchi, Chiyoda-ku, Tokyo, 100-6740
TEL: 03-6377-2324
Office Hours: 9:00-17:00 (Monday to Friday)
E-mail address: tokyohr@japan.bnpparibas.com

10.

Complaint and Inquiry Liaison of the Authorized Personal Information Protection
Organization
Please contact Human Resources for the details of the Organization.
Enacted on May 1, 2011
Amended on February 1, 2017
Amended on May 30, 20174

BNP Paribas, Tokyo Branch
Declaration of Employees Personal Information Protection

[Translation]
Declaration of Employees Personal Information Protection

BNP Paribas, Tokyo Branch (the “Company”) strictly manages any and all personal information(hereinafter referred to as the “Employees Personal Information”) which the Company acquires, storesand uses for the employment management of employees (including employees, those who will be andwished to be hired by the Company, and those who were in the past hired by the Company) inaccordance with the Law Concerning Protection of Personal Information (hereinafter referred to as the“Personal Information Protection Law”) and this Declaration of Employees Personal Information
Protection, and to keep the Employees Personal Information accurate and confidential.

1.

Compliance with Related Regulations

The Company abides by the Personal Information Protection Law, other related regulations
and other rules regarding the handling of the Employees Personal Information.

2.

Acquisition and Usage of Employees Personal Information

The Company may acquire or use employees’ names, addresses, sex, dates of birth,
telephone numbers, e-mail addresses, biographical data and such other Employees Personal
Information as may be required for employment management, for the purposes mentioned in thefollowing Paragraph 3.
In principle, the Company does not acquire, use or provide Employees’ personal
information which includes the following information unless it is required for special operational
needs or other business purposes or permitted by laws and regulations:・ Information concerning infectious diseases which are not extremely contagious or widespread at
the office, such as HIV or hepatitis B, and genetic information such as colorblindness test results;
and・ Information which may become a source of social discrimination such as information concerning
one’s race, social status, family origin, legal address on family registry, or information concerning
one’s belief or status of membership with a labor union.

3.

Intended Purpose for which the Employees Personal Information will be used

The Company uses the collected Employees Personal Information to the extent necessary toattain the following purposes and does not use it for other purposes:
・ For business communication, emergency contacts, and posting of documents;
・ For payment of compensation(including salary, bonus, and other allowances) and proceedings
concerning tax withholding;

1

・
・
・
・
・
・
・
・

4.

For decision of recruitment and performance appraisal, decision of assignment, and efficient
enforcement of rights over personnel;
For proceedings of benefits and their management;
For securing a healthy workplace, appropriate health administration for employees;
For proceedings relating to social insurance and employment insurance, and other legally-required
proceedings;
For proceedings for obtaining qualifications which are necessary to implement businesses such as
Securities Sales Representative License;
For reports and filing answering to any inquiries by regulatory authorities (including foreign
regulatory authorities), and litigation handling;
For contacts with retired employees; andFor appropriate and efficient implementation of other personnel and labor management, andbusiness administration of the Company.

Management of Employees Personal Information

The Company strives to keep the Employees Personal Information accurate and updated,
and to delete it without delay, if it ceases being required to be used. In order to prevent leakage, loss,
or damage to the Employees Personal Information, the Company sets up appropriate organizational
structures and takes strict security measures by setting up internal policies concerning the protection of
the Employees Personal Information and keeping them revised and updated.

5.

Provision of Employees Personal Data to Third Parties

The Company does not provide Employees Personal Information that is Personal Data (the“Employees Personal Data”) to any third party except when:
・ The person to whom the information relates agrees beforehand,・ The provision of the information is in accordance with the relevant laws and regulations,・ It is difficult to obtain consent from the person to whom the information relates, but the provisionof such information is necessary to protect the life, health, or property of a person or persons,・ It is difficult to obtain consent from the person to whom the information relates, but the provisionof such information is necessary to encourage the improvement of public health or childcare,・ It is necessary in order to cooperate with government organizations or local authorities, or thosecommissioned by the aforementioned entities, in the prosecution of duties provided in laws andregulations, for which the act of obtaining consent from the person to whom the information
relates may interfere; and・ The provision of the information is permitted under the Personal Information Protection Law.

6.

Joint Use

The Company may jointly use Employees Personal Data with BNP Paribas S.A. or otheraffiliate company belonging to the BNP Paribas group, as set out below. In the case where such2

affiliate company is located overseas, the Company will, as necessary, either obtain consent of theemployee concerned, or confirm that the affiliate company has taken the measures that are in line withthe purposes of the provisions of Section 1 of Chapter 4 of the Personal Information Protection Law
by way of its established privacy policy or otherwise.
Data to be jointly used
Employees’ names, datesofbirth,
addresses,
nationality, sex, title andother Employees Personal
Information
Information relating to thesalaryandothercompensationofemployees
Employees’ names, datesof birth, addresses, phone
number, nationality, sex,
title and other Employees
Personal Information

7.

Purpose of Joint Use

Person responsible formanaging the joint use
For
employment
management Head of Human Resources atpurposes, including for the purpose the Company
of promoting utilization of humanresources within BNP Paribas as agroup or designing the Group’s
human resources strategy.

For maintaining and enhancing Head of Compliance at thecompliance by BNP Paribas as a Company
group, including for the purpose ofreporting to or filing with theregulatory authorities (including
foreign regulatory authorities).

Request for Disclosure or Correction of Employees Personal Data

Any employee of the Company may ask to receive a notice regarding the purpose for which
his/her Employees Personal Data will be used, and may demand the disclosure, correction, addition ordeletion, suspension of usage or deletion or suspension of provision to third parties of, the Employees
Personal Data held by the Company in accordance with Personal Information Protection Law. In
order to make the abovementioned requests or demands, the employee must follow the procedure
indicated below.
Request liaison:
Human Resources Department
Documents for submission:・Please fill in the request form prescribed and submit it.
Disclosure/ Correction
request form:
Direct request from said ・Identification Documents:
person:BNP PARIBAS ID Card, Driver’s certificate, healthinsurance card, passport, certificate of alien registration,pension book
Request by an Attorney in ・Identification documents for said person and their AttorneyFact (person designated toin Fact: Driver’s certificate, health insurance card,
make the request,
passport, certificate of alien registration, pension bookguardian, proxy(Attorneys at law need to report their registration3

commissioned by said
person):numbers as well), and・Power of attorney or any other document certifying theagent’s authority

Other attachments

・For correction, addition or deletion, suspension of usage ordeletion, and suspension of provision to third parties:
documents providing the reasons for such measures
・We collect the actual costs for copying, postage fees andothers.
・We make a written response.

Charges:
Response by the Company:

8.

Modification of Declaration of Employees Personal Information Protection

In order to secure and manage the Employees Personal Information appropriately, theCompany will review and revise this Declaration of Employees Personal Information Protection asneeded. If the Company should make any significant modification, the Company will notify theemployees of such changes via the Company’s intranet web page or other appropriate means.

9.

Queries Concerning the Handling of Employees Personal Information

The Company accepts queries or complaints from employees with respect to the handlingof the Employees Personal Information at the following office.
BNP Paribas, Tokyo Branch
Employees Personal Information Liaison, Human Resources Department
GranTokyo North Tower, 1-9-1, Marunouchi, Chiyoda-ku, Tokyo, 100-6740
TEL: 03-6377-2324
Office Hours: 9:00-17:00 (Monday to Friday)
E-mail address: tokyohr@japan.bnpparibas.com

10.

Complaint and Inquiry Liaison of the Authorized Personal Information Protection
Organization
Please contact Human Resources for the details of the Organization.
Enacted on May 1, 2011
Amended on February 1, 2017
Amended on May 30, 20174