Privacy Policy

Basic policy on protection of personal information

Mercuria Investment Co., Ltd. ("We" or "Us") and its officers and employees will observe the Act on the Protection of Personal Information, Act on the Use of Numbers to Identify a Specific Individual in the Administrative Procedure and other applicable laws and ordinances, and hereby prescribe our basic policy on the protection of personal information as follows.

  1. We will observe laws, ordinances and other rules related to the protection of personal information in respect to personal information including Specific Personal Information (Personal Information, etc.).
  2. We will properly acquire Personal Information, etc. and will not use personal information beyond the scope of purpose of use. Furthermore, we will not disclose or provide Personal Information, etc. to a third party without obtaining the person's consent unless such disclosure is required under laws and ordinances.
  3. We will endeavor to maintain the acquired Personal Information, etc. to be accurate and up to date. We will also take necessary and appropriate security control measures to prevent the unauthorized access, divulgence, loss and falsification of Personal Information, etc.
  4. If we are to consign the handling of Personal Information, etc. to a third party, we will appoint a party that is acknowledged as being capable of properly handling Personal Information, etc., and appropriately supervise such party so that the security control measures of Personal Information, etc. are taken.
  5. We will educate our officers and employees on the importance of protection of Personal Information, etc. by offering training, etc. Furthermore, we will supervise our officers and employees so that Personal Information, etc. is handled appropriately.
  6. When requested by the person, we will disclose, correct or discontinue the use of Personal Information, etc. in accordance with laws and ordinances. In the foregoing case, we may charge a certain fee to the person.
  7. We will prescribe our internal rules related to the protection of personal information, and continuously review and observe the same.

Purpose of use of personal information

We will handle personal information only to the extent required for the following business descriptions and for achieving the purpose of use of personal information.

1. Business description

  1. Investment management business and services incidental thereto
  2. Investment advisory/agency business and services incidental thereto
  3. Type II financial instruments business and services incidental thereto
  4. Other businesses that may be conducted as an investment management business operator, an investment advisory/agency business operator or a type II financial instruments business operator and services incidental thereto
  5. Real estate related business and services and services incidental thereto
  6. Other businesses which we are allowed to conduct (including businesses which we may be allowed to conduct in the future)

2. Purpose of use of personal information

  1. Administrative affairs related to a discretionary investment contract or an investment advisory contract (advisory business)
  2. Provision of information or advice related to securities
  3. Introduction, provision or management of products or services invested by us or our affiliates
  4. Reporting of investment results and balance of contract assets
  5. Performance of real estate related business and services incidental thereto
  6. Verification of the person or the person's agent
  7. Determination of appropriateness of products or provision of services in light of the principle of suitability
  8. Appropriate implementation of the entrusted services in cases of being entrusted with all or a part of the handling of personal information from another business operator
  9. Research and development of financial products and services based on market research, data analysis and surveys
  10. Appropriate and smooth implementation of transactions with customers and trading partners

Pursuant to laws and ordinances, we will not use, or provide to any third party, sensitive information for any purpose other than for our appropriate operation of business and other purposes deemed necessary.

Personal information consultation desk

Please contact our inquiry counter if you have any inquiries or requests concerning our handling of personal information.

Mercuria Investment Co., Ltd.

Inquiry counter

Authorized personal information protection organization

We are a business operator affiliated with the Japan Investment Advisers Association which is an authorized personal information protection organizations that was authorized by the Financial Services Agency. This Association also accept inquiries and complaints concerning the handling of personal information by their members.

・ Inquiries or complaints related to discretionary investment contracts and investment advisory business

Japan Investment Advisers Association, Complaints Desk
Tel: 03-3663-0505

Basic Policy on Proper Handling of Specific Personal Information, etc.

We will observe the Act on the Use of Numbers to Identify a Specific Individual in Administrative Procedures and other applicable laws and ordinances, and hereby prescribe our basic policy on the proper handling of individual numbers and specific personal information (collectively, "Specific Personal Information, etc.").

1. Name of business operator

Mercuria Investment Co., Ltd.

2. Proper handling of Specific Personal Information, etc.

We will observe the Act on the Use of Numbers to Identify a Specific Individual in Administrative Procedures, Act on the Protection of Personal Information, Guidelines on Proper Handling of Specific Personal Information (for Business Operators) and (Separate Volume) Guidelines on Proper Handling of Specific Personal Information in Financial Services as well as other applicable laws, ordinances and guidelines, and properly handle the Specific Personal Information, etc.

3. Security control measures

We will prescribe our internal rules on the protection of specific personal information, and take appropriate security control measures to prevent the unauthorized access to the Specific Personal Information, etc., and to prevent the divulgence, loss or damage of the Specific Personal Information, etc.

4. Consignment of handling of Specific Personal Information, etc.

We may consign the handling of Specific Personal Information, etc. to a third party. In the foregoing case, we will confirm that the consignee is taking the same level of security control measures as us, and offer necessary supervision to the consignee based on laws and ordinances.

5. Continuous improvement

We will continuously review and observe our internal rules so that the Specific Personal Information, etc. is protected appropriately.

6. Inquiry counter

Please contact our inquiry counter if you have any inquiries or requests concerning our handling of personal information.

Mercuria Investment Co., Ltd.

Inquiry counter