- Comply with Acts and related regulations
The Firm complies with laws and regulations such as the ‘Act on the Protection of Personal Information’ as well as Guidelines for Personal Information Protection in the Finance Field etc.
- The Purpose of using Personal Information
The Firm handles personal information within the scope of business and only to the extent necessary for the achievement purposes to use, except as provided by laws and regulations.
– Providing inter-dealer-broking services of financial instruments or OTC derivatives
– Receipt of applications for financial instruments and services such as opening accounts for various financial products and transactions
– Identification of a customer pursuant to the Act on Prevention of Transfer of Criminal Proceeds.
– Exercising rights or fulfilling obligations in accordance with a law or an agreement with a customer
- Information Safety Control Measures
The Firm shall manage and store personal information under a strict control system, making every possible effort to strengthen the level of security to ensure that the information of the parties in question is not lost and supervise employees and third party agent.
- Continuous improvement
The Firm will make effort of continuous improvement so that the firm can handle customer’s personal information in proper manner.
- Procedures for Private Information Disclosure, etc.
With regard to personal information in the possession of the Firm, parties wishing to be notified of the use purpose, or that wish to disclose, correct, make additions to, delete, terminate the use of or erase the contents of the information are requested to direct such requests to the desk with which they do business, or to the email, #AccoutOpening-TK@bgcpartners.com.
The Firm will reply to the party after we confirm the requester is the concerned party.
- Inquiries or opinion
Contact: BGC Shoken Kaisha Limited
Zip Code: 107-6338
Address: 38th Floor, Akasaka Biz Tower, 5-3-1 Akasaka, Minato-ku Tokyo
Time: 9:00 to 17:30 Tokyo Time (except for December 31st to January 3rd, Sun. Sat. Public Holidays)
- Accredited Personal Information Protection Organization
The Firm is a member of Japan Securities Dealers Association as an Accredited Personal Information Protection Organization certified by the Financial Services Agency. The Organization accepts enquiries and complaints concerning the handling of personal information by Association Member Firms.Personal Information Consultation Office
1-5-8, Kayaba-cho, Nihonbashi, Chuo-ku
Tokyo, 103-0025 Japan
Hours of Operation: 9 am to 5 pm JST
Excluding December 31st to January 3rd. Weekends and public holidays
Sources to obtain personal information and business we outsource
- Information which customer provided us in documents such as account opening application etc.
- Information in book such as Company Book or newspaper or public information in internet
- Information provided by customer on voice or mail
Business which we are outsourcing
We outsource the below business.
- Business for system maintenance
- Business to keep accounts and records relating business (Warehouse)
- Business to send document to customer