PRIVACY POLICY

BLOOMBERG TRADEBOOK ® LLC (“Bloomberg Tradebook”) respects the privacy rights of our users and is strongly committed to protecting your privacy online. This privacy policy applies to this Web site and does not apply to other products or services of Bloomberg L.P., its general and limited partners, and its subsidiaries, and their respective general partners and affiliates (collectively “Bloomberg”).

Collection and Use of Personal Information

Bloomberg Tradebook or a designated service provider collects personal information that you voluntarily provide on this Web site, which may include your name, address, e-mail address, etc. We use this information to communicate with you. Bloomberg may also provide you with information, special offers, and promotions. You may instruct Bloomberg Tradebook at any time not to use your personal information to provide you with information, special offers, or promotions by sending us an e-mail message at: jzangri@bloomberg.net . Please note that this opt-out process make take up to thirty (30) days to complete.

Disclosure of Personal Information

Bloomberg Tradebook may disclose your personal information to affiliates or unaffiliated third parties if we believe in good faith that such disclosure is necessary: (a) to comply with the law or in response to a subpoena, court order, government request, or other legal process; (b) to protect the interests, rights, safety, or property of Bloomberg Tradebook or others; (c) to enforce any terms of service on this Web site; (d) to provide you with the services or products requested by you (including allowing a purchaser of Bloomberg Tradebook to continue to serve you), and to perform other activities related to such services and products, including billing and collection; (e) to provide you with information, special offers, or promotions from Bloomberg Tradebook to which you consented; or (f) to operate Bloomberg Tradebook's systems properly. Bloomberg Tradebook makes reasonable efforts to limit its designated service providers' disclosure of your personal information in the same manner as set forth in this paragraph.

Accuracy and Security of Personal Information

Any personal information you provide to Bloomberg Tradebook is kept on secure servers. Bloomberg Tradebook uses reasonable administrative, technical, personnel, and physical measures (a) to safeguard personal information against loss, theft, unauthorized use, disclosure, or modification; and (b) to ensure the integrity of the personal information.

Use of Cookies

Bloomberg Tradebook or a designated service provider may use "cookies" or similar electronic tools to collect information, such as the IP address of your computer, to enhance your experience with this Web site. A cookie is a small text file that is placed on your computer and which collects information about your use of this Web site, such as the Web pages visited, the date and the time of a visit, the Web sites you visited immediately before and after visiting this Web site, etc. Any information collected by the cookies used by Bloomberg Tradebook will be collected anonymously and will not be used by Bloomberg Tradebook to subsequently identify you or to prepare the collection, processing, or use of personal information about you without your prior consent. Bloomberg Tradebook makes reasonable efforts to limit its designated service providers' use of cookies or similar electronic tools in the same manner as set forth in this paragraph.

Most browsers are set to accept cookies by default. If you prefer, you can usually set your browser to disable cookies, or to alert you when cookies are being sent. The help function on most browsers contains instructions on how to set your browser to notify you before accepting cookies or to disable cookies entirely. However, it is possible that some parts of this Web site will not function properly if you disable cookies.

Accessing and Updating Your Personal Information

To access, review, rectify, or delete personal information collected about you via this Web site, please send us an e-mail message at: jzangri@bloomberg.net . All requests must include the following information: first name, last name, and e-mail address. While Bloomberg Tradebook will make reasonable efforts to accommodate your request, we also reserve the right to impose certain restrictions and requirements on such access requests, if allowed or required by applicable laws.


Transfer of Personal Information To Other Countries

Some of the uses and disclosures mentioned in this privacy policy may involve the transfer of your personal information to various countries around the world. By submitting your personal information via this Web site, you consent to such transfers.

Links To Third-Party Web Sites

Bloomberg Tradebook may provide links to third-party Web sites. Since we do not control third-party sites and are not responsible for any personal information you may provide while on such sites, we encourage you to read the privacy policies on those Web sites before providing any of your personal information on such sites.

Modifications To This Privacy Policy

Bloomberg Tradebook reserves the right to change this privacy policy at any time by posting revisions on this Web page. Such changes will be effective upon posting.

Last Updated: November 15, 2007

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Personal Information Protection Declaration

Bloomberg Tradebook Japan Ltd.

BLOOMBERG TRADEBOOK has developed and announces this Personal Information Protection Declaration as its policy for handling of the personal information of customers.

  1. Compliance with Relevant Laws, Regulations and Guidelines

    Our company shall comply with all applicable laws and regulations concerning the protection of personal information including the "Law concerning the Protection of Personal Information" (Law No. 57 of 2003, as amended), the guidelines of those state ministers with competency there over and the guidelines of the Accredited Personal Information Protection Organization , as well as this Personal Information Protection Declaration.

  2. Purposes of Use

    Our company, unless the customer agrees or except applicable laws, regulations and guidelines permit it as an exception, shall handle the personal information of customers solely to the extent of the achievement of the purposes of use of personal information within our company as described in the annex hereto (the "Purposes of Use").

    Furthermore, the Purposes of Use shall be displayed in our headquarters, in addition to being published on the website and the like of our company. In the event that the Purposes of Use are modified, such modification shall also be published in the same manner.

  3. Safe Management Measures

    Our company shall strive so that the content of the personal information of customers is accurate and current. Furthermore, in order to prevent the disclosure, loss or damage of the personal information of customers and to manage the safety of such personal information, the necessary and appropriate safe management measures shall be implemented and, in addition, the appropriate supervision of executives, staffs and delegatees shall be carried out.

  4. Continuous Improvement

    Our company, in order to strive for the appropriate handling of the personal information of customers, shall carry out the appropriate review of this Declaration and strive for continuous improvement.

  5. Provision of Personal Information to Third Parties

    Provision to Third Parties
    Personal information may be made available to Bloomberg L.P. and its affiliates in order to enhance the services it provides as far as applicable laws, regulations and guidelines allow.

    The Personal Information to Be Provided to Third Parties
    The personal information provided to the third parties may include such persons' names, addresses, telephone/facsimile numbers, email addresses, employers' names, titles, career history and information about the use of its Service, such as generic types of information accessed, times and volume of use of the Service and Traffic information as far as applicable laws, regulations and guidelines allow.

    Measures of Provision
    Our company makes available some of the personal information above it collects to Bloomberg L.P. and its affiliates via its proprietary electronic network over which the BLOOMBERG PROFESSIONAL Service is provided as far as applicable laws, regulations and guidelines allow.

    Suspension of Provision
    The provision of any personal information to a third party which could be used to identify an individual may be suspended at the request of the individual in accordance with applicable laws regulations and guidelines. If customers would like to require suspension of provision of the personal information held by our company about them to the third parties, they may contact the person as set forth in Section 6 below with sufficient particulars to identify the information involved.

  6. Matters concerning Personal Information held and handled by Our Company

    Purposes of Use of All Personal Data Held
    Same as the Purposes of Use described in Section 2.

    Procedure for Requesting Disclosure, Etc.
    Relevant law may permit customers to request to be informed of the purpose of use of the personal information, to request disclosure of personal information, to request amendments, additions or deletions of personal information, to request suspension of use of personal information, or to request to suspend the provision to third parties of the personal information, held by our company. If customers would like to exercise any of these rights with respect to personal information held by our company about them, they may contact the person as set forth in Sub-Section (3) below with sufficient particulars to identify the information involved. We will inform customers of the procedures that may be required, including the payment of any necessary fees.

    Questions, Opinions, Etc.
    Our company shall strive to make prompt and good faith responses to questions, opinions and the like concerning personal information received from customers. Customers may contact in writing the person below with your questions, opinions and the like:

    Address:

    Yusen Building
    2-3-2 Marunouchi
    Chiyoda-ku, Tokyo 100-0005

    Telephone:

    03-3201-8898

    Office hours:

    9:00 am to 5:00 pm

    E-mail:

    boleary1@bloomberg.net

    Accredited Personal Information Protection Organization
    Our company is a member of the Japan Securities Dealers Association, an Accredited Personal Information Protection Organization that has received the authorization of the Financial Services Agency. Complaints and consultation concerning the association member's handling of personal information are accepted at the Securities Mediation and Consultation Center of the Association.

    (Complaints and Consultation Countern):
    Japan Securities Dealers Association
    Securities Mediation and Consultation Center
    Telephone (03-3667-8008)
    (http://www.jsda.or.jp/) or each branch department of the Securities Mediation and Consultation Center near you

  7. Handling of Sensitive Information

    Our company shall not handle information concerning political thought, race and nationality, religious beliefs (including religion, thought and creed), entry into labor union, family status and original domicile, healthcare and medical care, sexual life or criminal record and other special nondisclosed information, in accordance with Cabinet Office Ordinances concerning regulation of the acts and the like of securities companies and the like.

End

(Annex)

Purposes of Use of the Personal Information of Customers

April 1, 2005

Bloomberg Tradebook Japan Ltd.

Our company shall handle the personal information of customers solely to the extent necessary to achieve the purpose of implementing the business content and achieving the purposes of use below:

  1. Business Content:

    Purchase and sale of negotiable securities, futures transactions such as a negotiable securities index, negotiable securities options trading or foreign market securities futures trading

    Mediation, agency or proxy for the purchase and sale of negotiable securities, futures transactions such as a negotiable securities index, negotiable securities options trading or foreign market securities futures trading

    Mediation, agency or proxy for the delegation of the purchase and sale of negotiable securities, futures transactions such as a negotiable securities index, negotiable securities options trading in the market for negotiable securities, as well as mediation, agency or proxy for the delegation of the purchase and sale of negotiable securities or foreign market securities futures trading

    Other services relating to securities business

  2. Purposes of Use:

    In order to provide solicitation, sale and service for the Bloomberg Electronic Trading Platforms pursuant to the Securities and Exchange Law (including those related to PTS)

    In order to carry out solicitation, sale and service guidance for the Bloomberg Electronic Trading Platforms pursuant to the Securities and Exchange Law (including those related to PTS)

    In order to carry out solicitation, sale and service guidance for the Bloomberg Electronic Trading Platforms of our company, affiliates or associated companies

    In order to judge the appropriateness of the providing of the Bloomberg Electronic Trading Platforms and services in view of the suitability rule and the like

    In order to confirm whether a customer is the actual party concerned or the agent of the party concerned

    In order to carry out notice of transaction results and the like to the customer

    In order to carry out administrative matters related to transactions with the customer

    For the purpose of the research and development of financial products and services by means of the implementation of market surveys as well as data analysis and questionnaires and the like

    In order to properly perform delegated work, when all or part of the processing of the personal information has been delegated from another business entity or the like

    Such other matters in order to appropriately and smoothly perform other transactions with the customer (including PTS work based on the Securities and Exchange Law)

    In order to make personal information available to Bloomberg L.P. and its affiliates to enhance the services it provides as far as applicable laws, regulations and guidelines allow

 

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個人情報保護宣言

（プライバシー・ポリシー）

平成１９年７月２日

トレードブック・ジャパン証券株式会社

当社は、お客様の個人情報の取扱いに関する方針として、次のとおり、個人情報保護宣言を策定し、公表いたします。

1. 関係法令及びガイドライン等の遵守

当社は、「個人情報の保護に関する法律」（平成15年法律第57号、その後の変更を含みます。）をはじめ個人情報保護に関する適用法令、主務大臣のガイドライン及び認定個人情報保護団体のガイドライン並びにこの個人情報保護宣言を遵守いたします。

2． 利用目的

当社は、お客様の同意を得た場合及び適用法令及びガイドラインにより例外として認められる場合を除き、別紙記載の当社における個人情報の利用目的（以下「利用目的」といいます。）を達成する範囲内でのみ、お客様の個人情報を取り扱います。
なお、利用目的は、当社の本店に掲示するとともに、ウェブサイト等にも記載しております。利用目的を変更する場合には、かかる変更について、同様の方法により公表いたします。

3. 安全管理措置

当社は、お客様の個人情報の内容が正確かつ最新のものとなるよう努めます。加えて、お客様の個人情報の漏えい、滅失又は毀損を防止し、また個人情報の安全性を管理するため、必要かつ適切な安全管理措置を実施するとともに、役職員及び委託先の適切な監督を行って参ります。

4. 継続的改善

当社は、お客様の個人情報の適正な取扱いを図るため、適宜この宣言の見直しを行い、継続的な改善に努めて参ります。

5. 第三者への提供

(1) 第三者提供について
個人情報は、ブルームバーグが提供するサービスを向上させ高めるため、ブルームバーグ・エル・ピー及びその関連会社に対し、適用法令及びガイドライン上許される限度で提供されることがあります。

(2) 個人情報の範囲
これらの第三者に提供される個人情報には、お客様の氏名、住所、電話／ファクシミリ番号、電子メールアドレス、雇用主名、役職、職歴及びアクセスした情報の一般的な種類、当該サービス及び通信情報の利用回数及び量に関する情報等、サービスの利用に関する情報を適用法令及びガイドライン上許される限度で含む場合があります。

(3) 提供の方法について
当社は、ブルームバーグ・エル・ピー及びその関連会社に対し、当社が収集する上記の個人情報をブルームバーグ　プロフェッショナル　サービスが提供される独自の電子ネットワークから、適用法令及びガイドライン上許される限度で提供します。

(4) 提供の停止について
個人を識別するために利用できる個人情報の第三者に対する提供は、適用法令及びガイドラインに従い、当該個人の請求により停止することができます。お客様に関して当社が保有している個人情報の第三者提供の停止を要求なさりたい場合、その対象となる個人情報を特定するに足りる事項をご提示の上、下記第6項に記載の者にご連絡いただくことができます。

6. 当社が保有し取扱う個人情報に関する事項

(1) 全ての保有個人データの利用目的
2. 記載の利用目的と同様です。

(2) 開示等のご請求手続き
関係する法律により、お客様は、当社が保有する個人情報につき、その利用目的の通知、その開示、その改訂、追加又は削除、その利用の停止、若しくはその第三者に対する提供の停止を要求できる場合があります。お客様に関して当社が保有している個人情報につきこれらの権利を行使なさりたい場合は、その対象となる個人情報を特定するに足りる事項をご提示のうえ下記(3)に記載の者にご連絡いただくことができます。必要な手数料の支払を含め、所要の手続について当社からお客様にお知らせします。

(3) ご質問・ご意見等
当社は、お客様からいただいた個人情報に係るご質問・ご意見等に対し迅速かつ誠実な対応に努めて参ります。ご質問・ご意見等は、下記の者まで（書面等により）ご連絡いただくことができます。

管理部　：　ブレント・オレアリー
住　　所：　〒100-6321　東京都千代田区丸の内２－４－１　丸の内ビルディング
電話番号：　０３−３２０１−８８９８
受付時間：　午前９時〜午後５時
E−メール：　boleary1@bloomberg.net

4) 認定個人情報保護団体
当社は、金融庁の認定を受けた認定個人情報保護団体である日本証券業協会の協会員です。同協会の証券あっせん・相談センターでは、協会員の個人情報の取扱いについての苦情・相談をお受けしております。

【苦情・相談窓口】
日本証券業協会　証券あっせん・相談センター　電話（０１２０－２５－７９００）
(http://www.jsda.or.jp/)又はお近くの証券あっせん・相談センターの各支部

7.センシティブ情報等の取扱い
証券会社等の行為規制等に関する内閣府令等に従い、当社は、政治的見解、人種及び民族、信教（宗教、思想及び信条をいいます。）、労働組合への加盟、門地及び本籍地、保健医療、性生活又は犯罪経歴についての情報その他の特別な非公開情報は取り扱いません。

(別紙)

 

お客様の個人情報の利用目的

平成１９年７月２日

ブルームバーグ・

トレードブック・ジャパン証券株式会社

当社は、お客様の個人情報について、次の事業内容の遂行の目的及び利用目的の達成に必要な範囲においてのみ取扱います。

1.事業内容

有価証券の売買、有価証券指数等先物取引、有価証券オプション取引又は外国市場証券先物取引

有価証券の売買、有価証券指数等先物取引、有価証券オプション取引又は外国市場証券先物取引の媒介、取次ぎ又は代理

有価証券の市場における有価証券の売買取引、有価証券指数等先物取引又は有価証券オプション取引の委託の媒介、取次ぎ又は代理ならびに外国有価証券市場における有価証券の売買取引又は外国市場証券先物取引の委託の媒介、取次ぎ又は代理

その他証券業に関する業務

2.利用目的

証券取引法に基づくブルームバーグ電子取引プラットフォームのための勧誘・販売、サービス（ＰＴＳに関するものを含みます。）等の提供をおこなうため

証券取引法に基づくブルームバーグ電子取引プラットフォームのための勧誘・販売、サービス（ＰＴＳに関するものを含みます。）等の業務の案内をおこなうため

当社、関連会社又は提携会社のブルームバーグ電子取引プラットフォームのための勧誘・販売、サービス等の案内をおこなうため

適合性の原則等に照らしたブルームバーグ電子取引プラットフォーム及びサービス等の提供の妥当性を判断するため

お客様ご本人であること又はご本人の代理人であることを確認するため

お客様に対し、取引結果等の報告を行うため

お客様との取引に関する事務を行うため

市場調査、ならびにデータ分析やアンケートの実施等による金融商品やサービスの研究や開発のため

他の事業者等から個人情報の処理の全部又は一部について委託された場合等において、委託された業務を適切に遂行するため

その他、お客様とのお取引を適切かつ円滑に履行するため（証券取引法に基づくPTS業務を含みます。）

ブルームバーグが提供するサービスを向上させ高めるため、ブルームバーグ・エル・ピー及びその関連会社に対し、適用法令及びガイドライン上許される限度で提供するため

以　上


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