Nomura* and all of its officers and employees shall at all times comply with all relevant laws, regulations and guidelines issued by regulatory authorities. This policy is applicable to Nomura’s third party service providers and clients.
Information will be collected in a manner consistent with all relevant laws and regulations (as amended and in force from time to time); and necessary measures will be taken to ensure that such personal information is correct and up-to-date.
Personal information will be used only for the purpose(s) for which notification has been given. Any disclosure or provision of personal information to third parties will comply with all relevant laws and regulations; and unless mandated or other appropriate reason exists, such disclosure shall not occur without the consent of the providers of personal information, unless it is previously agreed to in a contract or the disclosure is pursuant to ensuring compliance with a regulatory / legal obligation, an order under law or upon written request by a government agency.
2. Items of personal information for collection and shared use
- Customer information including the name, address, birth date, telephone number, employment and transactional needs.
- Information relating to customer transactions including the details of the transactions and assets under custody and any information provided pursuant to the Know your customer (KYC) documents.
- Service provider information including the name, address, birth date, telephone number, employment and transactional needs.
- Information relating to service provider’s transactions including the details of the transactions and assets under custody.
- Other financial information.
Nomura will keep their officers and employees informed to prevent leakage or inappropriate use of personal information. Nomura has its detailed IT Security Policy, for safeguarding the security of information and operation of IT systems which can be made available upon request.
In the event that personal information is provided to an external contractor(s), Nomura will ensure that the external contractor(s) has proper systems in place to protect the privacy of such personal information.
All requests from the provider of information for the disclosure, correction, and usage termination of personal information shall be carried out in accordance with all relevant laws and regulations (as amended and in force from time to time). In this event, related expenses may be collected from the requestor.
If you have any grievances with respect to the processing of your personal information, please don’t hesitate to contact the Grievance Officer; Preeti Shetty at firstname.lastname@example.org.
3. How we use personal information
- The personal information may be processed by Nomura for the following:
- administration, review and processing of fees and other payments and tax filings;
- compliance with Nomura policies and/or regulatory and legal obligations, including in relation to health, safety and other matters;
- for contacting next of kin and arranging medical attention in connection with death, illness or injury of personnel whilst on Nomura premises;
- assisting internal and regulatory investigations, including requests from any regulatory authorities or other relevant public authorities or agencies
- submission to regulatory authorities such as KYC Registration Agencies (KRA’s), CIBIL, FIU, etc;
- obtaining legal advice and/or establishing, exercising or defending legal rights;
- the provision of business services by Nomura, including advising and acting on behalf of clients, or the development or promotion of such services, and the reasonable and lawful provision of information to clients and prospective clients;
- the calculation and analysis of payroll, billing, credit control and other data relating to the finances of Nomura and the transfer of such data for use by financial personnel and other appropriate independent third parties;
- analysis for management purposes, statutory returns and the development of Nomura;
- arranging any other activities in connection with the business of Nomura;
- for the purpose of exercising rights and/or fulfilling obligations pursuant to the Companies Act;
- in order to send Nomura reports to and otherwise provide information and services to shareholders;
- for gathering statistical data, etc. necessary to carry out publicity and investor relations activities;
- for the purpose of Nomura’s business management systems and internal control and
- corporate strategy, business continuity, risk management, marketing and public relations, internal and/or external programs and events
4. Purpose of shared use
For the purpose of Nomura’s business management systems and internal control including integrated compliance and risk management.
5. Scope of entities to be shared
Nomura and any of its group companies globally, which are directly or indirectly under the control of the ultimate holding company.
*Nomura shall mean.
- Nomura Services India Private Limited having its registered office at 10th floor, Nomura, Hiranandani Business Park, Powai, Mumbai- 400 076 and its SEZ unit at Unit Nos. 402, 501 & 601, A-Wing, Hiranandani Builders, Special Economic Zone, Kensington IT/ITES, Hiranandani Business Park, Powai, Mumbai, 400 076
- Nomura Structured Finance Services Private Limited having its registered office at 9th floor, Nomura, Hiranandani Business Park, Powai, Mumbai- 400 076
- Nomura Fin Services (India) Private Limited having its registered office at 9th floor, Nomura, Hiranandani Business Park, Powai, Mumbai- 400 076
- and each entity controlling, controlled by or under common control with such entity