Japannext PTS is open five days a week from Monday to Friday except for national, observed, and exchange holidays. Please refer to the tables below for exact dates.
The works of authorship contained in this Japannext website, including but not limited to all design, text, images and trademark, are owned, except as otherwise expressly stated, by Japannext and may not be copied, reproduced, transmitted, displayed, distributed, sublicensed, altered or otherwise used in whole or in part in any manner without the prior written consent of Japannext.
We hereby establish and announce this Declaration of Personal Information Protection (“Declaration”), which sets forth our policies for our clients’ personal information and Individual Number (hereinafter collectively referred to as “Personal Information etc.”).
In addition to the matters set out in this Declaration, we will comply with all applicable laws and regulations, government guidelines, and guidelines by the recognized personal information protection organizations, with respect to the proper handling of Personal Information etc.
Unless otherwise agreed to between us and our clients or in exceptional circumstances required by applicable laws and regulations, we will only use our clients’ personal information in accordance with the purposes set out below. Individual Number will only be used for specific purposes prescribed by law.
As a PTS business (including any incidental businesses) operator (as provided under Article 2-8-10 of the Financial Instruments and Exchange Act), there are situations where it is necessary for us to collect Personal Information etc. for the purpose of ensuring the effectiveness of our operations.
The principal sources of personal information are as described below:
We will endeavor to ensure that our clients’ Personal Information etc. is always kept accurate and up to date. Further, in order to prevent any leakage of our clients’ Personal Information etc., we will take all necessary and appropriate security measures as described below, as well as exercising appropriate supervision over all officers, employees and any external outsourcing service providers.
(Development of Disciplines on the Handling of Personal Data)
(Institutional Security Control Measures)
(Personnel Security Control Measures)
(Physical Security Control Measures)
(Technological Security Control Measures)
(Understanding of External Environment)
We will endeavor to review this Declaration on a regular basis and to make continuous improvements with the purpose of ensuring the appropriate handling of our clients’ Personal Information etc.
We will endeavor to address adequately and promptly, after obtaining satisfactory evidence of an individual’s identity, our clients’ request for disclosure of the personal data we hold on them, correction, suspension of use of such personal data, or disclosure of a record of provision of such personal data to a third party.
Further, we will answer on whether we possess Individual Numbers if requested to disclose it.
We may share our clients’ personal information with our associated company, SBI Holdings, Inc., as well as the subsidiary companies listed in the annual securities report of the associated company, for the purposes of exercising appropriate management and internal control such as compliance and risk management. Personal information that may be shared includes information concerning an individual’s name, address, telephone number and occupation.
The person who is responsible for managing such personal data is below:
Japannext Co., Ltd.
3-1-1 Roppongi, Minato-ku, Tokyo
Representative: Masakatsu Yamada
We will endeavor to address our clients’ inquiries, comments or complaints regarding our handling of Personal Information etc. promptly and appropriately. Please contact our Compliance Department on 03-4577-4040 for any queries, comments or concerns that you may have.
We are a member of the JSDA, which is recognized by the Personal Information Protection Commission as a personal information protection organization. The enquiries and complaints desk of the JSDA accepts complaints and provides consultation services concerning the handling of personal information, pseudonymized personal information, and anonymized personal information by JSDA’s members.
Japan Securities Dealers Association
Personal Information Consultation Office
TEL: 03-6665-6764
URL: https://www.jsda.or.jp/
Revised on 1 April 2023
This best execution policy stipulates the policy and method for executing orders from our trading participants (Type I Financial Services Providers) (“trading participants”) on the best possible terms in accordance with Article 40-2, Paragraph 1 of the Financial Instruments and Exchange Act (“FIEA”).
When Japannext (“we”) receives orders from the trading participants involving securities listed on the financial instruments exchanges (“FIEs”) in Japan, we will endeavor to execute the orders in accordance with this policy to the greatest extent possible.
“Listed share certificates, etc.” as defined in Article 16-6 of the Enforcement Ordinance of the FIEA, which includes shares listed on FIEs, exchange-traded funds (ETFs: beneficiary certificates of investment trust linked to equity indexes), real estate investment trusts (REITs), etc.
We do not perform transactions for Phoenix stocks, Convertible bonds, etc. which are defined in Article 67-18, Item (iv) as tradable securities.
It is our fundamental policy to execute all orders from the trading participants on a private proprietary trading system (“Japannext PTS”) operated by us in accordance with our internal trading rules, i.e. the order we received from the trading participant will be matched with the other order we received from said participant or with the order received from a different trading participant and executed on the Japannext PTS. We will not conduct agency brokerage of the orders from the trading participants to a FIE in Japan or the PTS operated by other financial services providers. Accordingly, any unexecuted orders will be automatically cancelled.
We mainly operate the PTS and we never conduct agency brokerage of purchase and sale of securities to FIEs in Japan or PTS operated by other financial services providers. We endeavor to assist our trading participants in understanding this as well as our PTS Trading Instructions and PTS Terms of Business. We anticipate that the order we receive from the trading participants will be matched and executed on our PTS and we believe that the trading participants would consider this as the most reasonable method of matching and execution that meets their needs.
We will not process transactions involving fractional shares or transactions with an amount less than one trading unit (i.e. an odd lot).
There may be instances in which it is unavoidable that we select an order execution method other than the method selected in accordance with this best execution policy due to system failures or other circumstances. In such cases, we will nevertheless endeavor to execute orders on the best terms possible at that given time.
The obligation of best execution not only relates to price but involves the consideration of various factors including cost, speed and probability of execution. Accordingly, the mere fact that an execution appears not to have resulted in the best possible price afterwards will not necessarily constitute a contravention or violation of said obligation.