RULES CONCERNING COMPLAINT PROCESSING
OPERATION RELATED TO HANDLING OF PERSONALINFORMATION(March 15, 2005)(Purpose)
Article 1 The purpose of the Rules Concerning Complaint Processing Operation Related to Handling of
Personal Information (hereinafter referred to as “Rules”) is to define matters that are necessary for
the Personal Information Consultation Office to process complaints about the handling of personal
information by Association Members as prescribed in Article 3 of the “Rules Concerning Securementof Proper Handling of Personal Information by Association Members.”(Implementation System of Complaint Processing Operation)
Article 2 The Personal Information Consultation Office shall process complaints about handling ofpersonal information in the business relating to the Sale and Purchase or Other Transactions ofSecurities, etc. prescribed in Article 3, Item (8) of the Articles of Association and other associatedbusinesses thereof that are conducted by the Regular Members, business set forth in the provision ofArticle 5, Item 2 (a), (b) or (c) of the Articles of Association conducted by the Specified Business
Members, and the Registered Financial Institution Business prescribed in Article 5, Item (3) of theArticles of Association that is conducted by the Special Members (hereinafter referred to as“Complaints about Handling of Personal Information”).
2.

The Personal Information Consultation Office shall appoint a special adviser to obtain advice andinstructions necessary for processing the Complaints about Handling of Personal Information, andcommission this position to an academic expert such as a legal professional.

(Responsibility of Complaints Processing Organization)
Article 3 The Personal Information Consultation Office shall quickly process the Complaints about
Handling of Personal Information in a fair and neutral manner in accordance with the purport of laws
concerning personal information protection.
(Procedures for Processing Complaints)
Article 4 In the case where the Personal Information Consultation Office receives an application from acustomer of an Association Member for solving a Complaint about Handling of Personal Information,
it shall consult with such customer, give necessary advice to the applicant, investigate the situationand other matters related to the complaint, and notify the details of such complaint to the Association
Member to ask for immediate resolution.
2.

In the case where Personal Information Consultation Office determines it necessary for solving thecomplaint brought by the application that is set forth in the preceding Paragraph, it may require theAssociation Member to provide an explanation about such complaints in writing or orally, or submit
a material.

3.

In the case where the Association Member receives a request from the Personal Information
Consultation Office pursuant to the provision of the preceding Paragraph, it must not reject such
request without justifiable reason.

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(Contact Point of Processing Complaints)
Article 5 The Complaints about Handling of Personal Information prescribed in the preceding Article,
Paragraph 1 shall be processed by the Personal Information Consultation Office.
(Cost Burden)
Article 6 All the costs for processing the Complaints about Handling of Personal Information shall beassumed by the Personal Information Consultation Office. Provided, however, it is allowed to makethe applicant assume the cost of documentation and telecommunications necessary for the proceduresof such application made by the applicant.
(Non-Disclosure of Complaints Processing)
Article 7 Processing of the Complaints about Handling of Personal Information shall not be disclosed.
(Confidentiality Obligation of Officers and Employees)
Article 8 Officers and employees of the Personal Information Consultation Office and those who used tobe in such position must not leak to a third party or illegally use a secret that is obtained through theprocessing of the Complaints about Handling of Personal Information without a justifiable reason.
2.

Officers and employees of the Personal Information Consultation Office and those who used to be insuch position must not use confidential information that is obtained through the processing of theComplaints about Handling of Personal Information for any purpose other than the business of thePersonal Information Consultation Office.

(Education and Training for Employees In-Charge)
Article 9 The Personal Information Consultation Office shall educate and train employees in-charge forthe purpose of properly processing the Complaints about Handling of Personal Information.
(Recording, Reporting, and Announcement of Results of Complaint Processing)
Article 10 The Personal Information Consultation Office shall prepare a record on the results, etc. ofcomplaint processing that is prescribed in Article 4, Paragraph 1 (referred to as the “Results, etc. ofComplaint Processing” in the following Paragraph), and retain it in 10 years after the preparation.
2.

The Personal Information Consultation Office shall report the Results, etc. of Complaint Processing
to the Chairman of the Self-Regulation Board and also publicize the summary of the Results, etc. ofComplaint Processing.

(Audit on Complaint Processing Operation)
Article 11 The Association shall conduct audit on complaint processing operation relating to Handlingof Personal Information by the Personal Information Consultation Office.

SUPPLEMENTARY PROVISIONS [Omitted](Note) These Rules are based on the version in effect as of March 1, 2020.

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This translation is solely for the convenience of those interested therein, and accordingly all questions thatmay arise with regard to the meaning of the words or expressions herein shall be dealt with in accordancewith the original Japanese text.

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