Handling of Personal Data in Foreign Countries at the Company

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

1.    Outsourcing to Business Operators in Foreign Countries
The Company handles the personal data of customers appropriately, in accordance with the laws and regulations of Japan and various regulations of the Company, including the Privacy Policy. However, as an example, the Company outsources some of its operations to business operators in foreign countries, and provides personal data to them within the scope necessary to achieve the intended use, as described below:

• When using an application provided by a business operator in a foreign country in customer satisfaction surveys or marketing measures;
• When using an application provided by a business operator in a foreign country to interview applicants for employment.

Based on a customer’s request, the customer may request the Company to provide information on matters stipulated in the Act on the Protection of Personal Information and Guidelines, such as the name of the foreign country in which a business operator to which the Company has outsourced its operations is located. Please contact the branch where you hold an account.

2.    Consent to the Provision of Personal Data to Business Operators in Foreign Countries
When we provide our customers’ personal data to a business operator located in a foreign country, we are required to disclose the name of the country and its regulation, etc. for the protection of personal information in advance when obtaining consent, in accordance with the provisions of the Act on the Protection of Personal Information.
However, since the financial products that customers will be trading in the future have yet to be determined, and since it is impossible to know in advance which foreign authorities, custodians, etc. will request the provision of customers’ personal data, we cannot inform customers in advance of the names of such countries or their regulations for the protection of personal information.
On the other hand, when trading foreign securities or depository receipts, in order to comply with the laws and regulations, etc. of the country, etc. where the issuer or exchange is located, or in order to ensure the smooth receipt of dividends, interest, profit distributions, etc. by customers, there are situations in which personal data must be provided to third parties at the request of the relevant country, etc. or in accordance with prescribed procedures.
In such situations, a failure to comply with the deadlines and procedures stipulated by laws and regulations, etc. may ultimately result in a disadvantage to the customer.
Therefore, in order to ensure smooth transactions of foreign securities or depositary receipts by customers, the Company will obtain prior consent to the provision of personal data only in the situations stipulated in the terms and conditions to be delivered by the Company.
The prospective foreign countries to which information will be provided are as follows. Based on the Act on the Protection of Personal Information, we provide information (*) on regulations, etc. related to the protection of personal information in these foreign countries.
In cases where the third party can be identified after the fact, the customer may request us to provide the name of the foreign country, information on the regulation for protection of personal information in the foreign country, and information on the measures taken by the third party to protect personal information. Please contact the branch where you hold an account (we may refrain from providing such information in cases, etc. where there is a possibility that providing such information may significantly hinder the proper conduct of our business).

In response to the U.S. Foreign Account Tax Compliance Act (FATCA), if a customer is a subject and necessary information is provided to the U.S. Internal Revenue Service (IRS), we provide information (*) such as the regulation for the protection of personal information in the U.S. to which the information is provided. The IRS has taken all measures in accordance with the eight principles of the OECD privacy guidelines.

(*)    Please refer to the “Survey on the Regulations, etc. for the Protection of Personal Information in Foreign Countries” published by the Personal Information Protection Commission on its website.

•    Personal Information Protection Commission website:
https://www.ppc.go.jp/personalinfo/legal/kaiseihogohou/#gaikoku