Privacy Notice on Personal Data Transfer between the FSA and EEA Securities Regulators:

This notice explains why the Financial Services Agency (FSA*) collects and processes personal data, why it transfers personal data, the rights available under the legislation in Japan to an individual whose personal data are transferred (Data Subject), and who the Data Subject should contact if they have questions or concerns about the handling of their personal data.
* Thereinafter, including the Securities and Exchange Surveillance Commission.

Collection and Processing of Personal Data

The FSA, as the securities regulator, collects and processes personal data to ensure compliance with, and enforcement of, the securities laws and regulations for the purpose of investor protection and fair and efficient capital markets.
Personal data are collected from regulators in other jurisdictions using information sharing arrangements such as the IOSCO Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information (IOSCO MMoU) (https://www.iosco.org/library/pubdocs/pdf/IOSCOPD386.pdf).
The FSA entered into an administrative arrangement for the transfer of personal data between the European Economic Area (EEA) securities authorities and the non-European Economic Area (non-EEA) securities authorities (Administrative Arrangement). The Administrative Arrangement provides safeguards to personal data that are transferred between EEA authorities and non-EEA authorities that have signed it.
This notice is provided pursuant to section III. 3 of the Administrative Arrangement.

Transfer of Personal Data

The FSA may transfer personal data to a foreign regulator in the case the FSA finds there is a special ground to cooperate, such as where the transfer is requested by the foreign regulator to assist its administrative investigation conducted for enforcement of its laws and regulations under an information sharing arrangement, such as the IOSCO MMoU.
The FSA may also obtain such information from foreign regulators under information sharing arrangements like the IOSCO MMoU.

Data subject rights and safeguards

The FSA will process personal data in accordance with the Act on the Protection of Personal Information Held by Administrative Organs (APPIHAO) and other relevant legal provisions. The APPIHAO provides a Data Subject with the right to request disclosure of his or her personal data retained by the FSA, although there is certain non-disclosure information. A data subject may also request: correction (including addition or deletion) of the content of his or her personal data retained by the FSA if the individual believes that the data is untrue; and suspension of use (including deletion or suspension of provision) of his or her personal data retained by the FSA if the individual believes that the data is being handled in violation of the APPIHAO or has not been obtained lawfully. These requests can be made in writing to be addressed to:

• Information Disclosure Office
• Financial Services Agency
• The Central Common Government Offices No. 7
• 3-2-1 Kasumigaseki, Chiyoda-ku, Tokyo, 100-8967 Japan

Question and Complaint

If you have any questions or concerns about the collection, use, processing, protection, disclosure, or transfer of your personal data by the FSA, you may contact:

• International Affairs Office
• Financial Services Agency
• intl-se2@fsa.go.jp

A refusal of disclosure, correction, or suspension of use of personal data retained by the FSA may be appealed through the Information Disclosure Office of the FSA. When the appeal for review is filed, the FSA must consult the Information Disclosure and Personal Information Protection Review Board in principle.

• Information Disclosure Office (identical to above)
• Financial Services Agency
• The Central Common Government Offices No. 7
• 3-2-1 Kasumigaseki, Chiyoda-ku, Tokyo, 100-8967 Japan