Handling of Personal Information

1. Acquisition of Personal Information

Rating and Investment Information, Inc. (“R&I”) may acquire personal information in a proper and fair manner within the limits of necessity in the following situations. In acquiring personal information, if it is required under the laws and regulations, R&I will obtain consent from providers of such information.

  • Performance of rating, pension consulting and investment evaluation, and information services (“R&I's services”)
  • Applications for rating
  • Applications for pension consulting and various investment evaluation services
  • Applications for publications and information media
  • Responses to questionnaires
  • Applications for seminars
  • Use of commercially available books and database services
  • Various inquiries

2. Use of Personal Information

(1) Purpose of Use

R&I will use the personal information only within the scope necessary to achieve the following purposes:

  • Performance of R&I's services
  • Sales activities concerning rating services and administrative activities concerning rated entities
  • Administrative activities concerning clients of pension consulting and various investment evaluation services
  • Providing information on R&I's services, publications, etc.
  • Providing information on various seminars and functions
  • Responses to various inquiries
  • Other activities incidental to performance of R&I's services

(2) Use for Other Purposes

If it becomes necessary to use the personal information beyond the scope of the purposes specified above, R&I will inform providers of such information accordingly. Unless otherwise prescribed by the Act on the Protection of Personal Information or other applicable laws and regulations, R&I will not use the personal information for any purpose beyond the scope necessary to achieve the above-listed purposes.

3. Management and Protection of Personal Information

(1) Management and Protection of Personal Information

R&I will appoint an supervisory manager to supervise the handling of personal information, apply proper and strict controls, and strive to maintain its accuracy and to ensure that it will not be leaked outside of R&I. R&I also will endeavor to protect personal information by implementing a proper and reasonable level of security measures to address the risk of unauthorized access from outside as well as other risks. R&I will dispose, in a proper and reasonable manner, of any personal information that may have become unnecessary in light of the purpose of use.

(2) Outsourcing of Administration of Personal Information

R&I may outsource the administration of the personal information to outside firms to the extent necessary to achieve the above-listed purposes of use. In such cases, R&I will select an institution (an “outsourcee”) that is recognized to be handling personal information appropriately, and will instruct and supervise such outsourcee with a view to having it administer and protect the personal information properly.

4. Procedures for Inquiry about Personal Information, and Request for Disclosure, etc. of, Retained Personal Data

R&I will respond, as promptly as reasonably possible, to inquiries about personal information or to requests for disclosure, correction, addition, deletion, stopping of use, erasure, etc. of retained personal data. Inquiries about personal information or requests for its disclosure, etc. of retained personal data are accepted by R&I's inquiry section, provided in Section 5 below.
Please click here for the procedures to request disclosure, etc.

5.Inquiries

Inquiries concerning the personal information are accepted at the office bellow:

Personal Information Management Office in R&I's General Affairs Division
Tel. +813-6273-7110
Office Hours: 09:30 – 17:30 Monday through Friday (closed on holidays)

6.Authorized Personal Information Protection Organization

R&I is a target entity of the Japan Investment Advisers Association, an authorized personal information protection organization. You may also contact the following contact point and ask for the resolution of complaints about the administration of personal information pertaining to R&I's investment advisory services:

Complaints Processing Office (in charge of personal information)
Secretariat, Japan Investment Advisers Association
Address: 7F Tokyo Shoken Building, 1-5-8 Nihonbashi-Kayabacho, Chuo-ku, Tokyo, 103-0025
Tel. +813-3663-0505
Office Hours: 09:00 – 17:00 Monday through Friday (closed on holidays)

7. Personal Information used for the purpose for Journalism and Literary Work

Personal information provided for journalism and literary work is exclusion from application of the duties of entities handling personal information under the Act on the Protection of Personal Information, but R&I will voluntarily ensure that such personal information is properly handled in reference to the spirit of the said Act and in light of journalism ethics and standards.

Specifically, the personal information used by R&I's Editorial Department for the purposes of editing and issuing publications, delivering written works, etc. falls under the category of such personal information.

Inquiries about the personal information used by R&I's Editorial Department for the purpose for journalism and literary work are accepted by the following unit:

Information Planning Group in R&I's Editorial Department
Tel. +813-03-6273-7407
Office Hours: 09:30 – 17:30 Monday through Friday (closed on holidays)

8.Amendments

In order to protect the personal information and keep pace with changes in laws, regulations, guidelines, etc. on the protection of personal information, R&I may amend its “Personal Information Protection Policy” and “Handling of Personal Information” from time to time. R&I will keep you posted of these amendments on its website.

Personal Information Supervisory Manager
Rating and Investment Information, Inc.