Privacy Policy Regarding Customer Information

Mizuho Securities Co., Ltd.
(Entity handling personal information)

Mizuho Securities Co., Ltd. ("MHSC") hereby establishes and announces the "Privacy Policy Regarding Customer Information" ("this Policy"), which sets forth MHSC's policies for protecting customers' personal information and the MHSC's basic approach in handling customers' personal information (including the customers' Individual Number and personal information containing the Individual Number (hereafter collectively referred to as "Specific Personal Information, etc.")).

Policy of Management

MHSC recognizes appropriate protection and use of personal information to be important social responsibilities, and makes every effort to appropriately protect and use personal information complying with laws and regulations including the "Personal Data Protection Law in Japan", "Act on the Use of Numbers to Identify a Specific Individual in the Administrative Procedure" and other related regulations and the internal rules of MHSC (including this Policy).

Proper Acquisition

MHSC will acquire personal information that is necessary to conduct its business by proper and lawful means.

Purpose of Use

MHSC will specify the purpose of use of personal information and will handle the personal information within the scope necessary to achieve that purpose, and will not use it beyond that scope.

In cases where special restrictions exist on the use of particular personal information under laws and/or regulations such as the use of the Individual Number under the "Act on the Use of Numbers to Identify a Specific Individual in the Administrative Procedure", MHSC will not handle that particular personal information for purposes not relevant to said matters.

The purpose of use of personal information is set forth through the web site or other measures provided by MHSC.

Providing Personal Information to Third Parties

MHSC does not provide personal information to any third party in principle unless the individual concerned has agreed to such use or it is authorized by law. However, MHSC may provide personal information to relevant entities that are otherwise specified without customer consent in following cases:

  • MHSC entrusts management of personal information that is necessary to achieve the purpose of use to a third party.
  • MHSC is one of the parties in a consolidation transaction.
  • MHSC uses personal information jointly with designated entities that are publicly informed.

However, with respect to Specific Personal Information etc., MHSC will not provide it to third parties except in the cases specified in the "Act on the Use of Numbers to Identify a Specific Individual in the Administrative Procedure".

Handling of Sensitive Information

MHSC does not acquire, use or provide to any third party sensitive information* ("sensitive information" refers specifically to information defined according to "Financial Sector Guidelines for the Protection of Personal Information" and includes "personal information requiring special consideration") unless authorized by law or deemed necessary in order to conduct business on the condition that MHSC has attained consent of individuals concerned.

  • *Sensitive information refers to all of the following:
  • Race, creed and social status
  • Medical/healthcare history and sex life
  • Criminal history or the fact that an individual has been a victim of an offense
  • Labor union membership
  • Registered residence and family origin
  • In addition, any other personal information requiring special consideration to prevent unjust discrimination and/or prejudice

Security Measures / Safeguards

MHSC maintains and manages accurate and up–to–date personal information, and prevent leakage of information with necessary and appropriate security measures. Moreover, MHSC conducts necessary and appropriate supervision of employees and service providers (including subcontractors, etc.) of who handles personal information.

Continuous Improvement

MHSC will continuously review this Policy according to the development of information technologies and the changes in social demands, and improve the handling of personal information.

Customer Requests concerning Personal Information

MHSC will endeavor to properly and promptly cope with following requests from customers:

  • notification of the purpose of use
  • disclosure of personal data
  • correction, addition and deletion of personal data that do not reflect the facts
  • suspension of use and elimination of personal data
  • suspension of providing personal data to third parties

Comments & Requests

MHSC will endeavor to cope with customer's comments and requests for the management of personal information sincerely and promptly.

Intended use

The intended use of personal information by the Company is set out on its website below:


Please contact either the branch where you hold an account or the below contact by telephone or by sending a letter, for any comments or inquiries you may have.

Office: Department responsible for receiving complaints: Customer Relations Office
Address: 1–5–5, Otemachi, Chiyoda–ku, Tokyo 100–8176
Telephone : 0120–324–051
Business hours : 8:40 a.m. – 5:10 p.m., Monday – Friday (excluding December 31 – January 3 and national holidays)

Authorized Personal Information Protection Organizations

The Company is a member of the Japan Securities Dealers Association, the Japan Investment Advisers Association, and the Financial Futures Association of Japan, which are personal information protection organizations authorized by the Financial Services Agency. The following contacts may also be used for complaints and consultation concerning the handling of personal information.

  • Japan Securities Dealers Associations Personal Information Consultation Office

Telephone: 03–6665–6764

  • Japan Investment Advisers Association Secretariat Grievance Office (Personal Information) 

Telephone: 03–3663–0505

  • The Financial Futures Association of Japan The Personal Information Consultation Office 

Telephone: 03–5280–0881

If residing within the EEA (European Economic Area), you have the right under the GDPR (General Data Protection Regulation) to lodge a complaint with a supervisory authority, in particular in the Member State of your habitual residence, place of work or place of the alleged infringement if you feel your rights have been infringed upon.

Methods of obtaining personal information and principal operations outsourced

Principal methods of obtaining personal information

The Company may obtain personal information in the following ways:

  • Through documents filled in or submitted by customers, such as application forms for products or services
  • From joint users, etc. within the Company group.
  • From published books, etc., newspapers, or the Internet.

Principal operations outsourced

The Company outsources part of its operations. Also, the operations for which the Company lets service providers handle personal information ,etc. include:

  • Printing and dispatching documents to be sent to customers;
  • Operations where professional legal and accounting advice, etc. is provided;
  • Operations concerning the management and maintenance of information systems;
  • Financial instruments intermediation;
  • Book and records etc. maintenance in relation to business operations.
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