Bayview Asset Management

Privacy Policy

January 1, 2016
In light of the importance of the protection of personal information and specific personal information including individual numbers (referred to collectively hereinafter as "Personal Information") in the financial sector, including the investment management and investment trust management businesses, and in recognition of its social responsibility as an asset management business to manage personal information securely, Bayview Asset Management Co., Ltd., ("BVAM") hereby establishes the following Privacy Policy. BVAM will ensure that all members of management and personnel understand and honor the Policy and will strive to protect Personal Information appropriately in accordance with this Policy.

Ken Yagi
President & Chief Executive Officer
Bayview Asset Management Co., Ltd.

  1. Collection and use of Personal Information

    BVAM makes clear the purpose of use of Personal Information at the time of obtaining it, obtains such information through legal and fair means, and makes use of such information within the range of stated purposes and only to pursue its proper business purposes. It uses personally identifying information including individual numbers only within the extent established by laws and regulations.

  2. Management of Personal Information

    BVAM maintains the accuracy of Personal Information and manages it securely, taking suitable measures to protect the information from improper access or theft and preventing incidents, such as loss of, damage to, manipulation of, or disclosure by error of such information.

  3. Compliance with laws, regulations, and standards concerning Personal Information

    BVAM strives to comply with laws and regulations concerning personal information and industry standards on voluntary controls.

  4. Disclosure, correction, and refraining from use of Personal Information

    BVAM establishes procedures for disclosure, correction, refraining from use, deletion, and other matters concerning personal information. It will respond promptly to any such requests as long as they are reasonable in accordance with laws, regulations, and standards.

  5. Organization and structure to protect Personal Information

    BVAM appoints an officer in charge of the protection of personal information and an officer responsible for administration of handling of specific personal information, including individual numbers and administers Personal Information appropriately. BVAM implements a training program on its measures for the protection and appropriate management of Personal Information for its management and other personnel to enforce the proper handling of Personal Information in day-to-day business operations.

  6. Adoption of the Personal Information Protection Compliance Program

    In order to enforce this Privacy Policy, BVAM adopts the Personal Information Protection Compliance Program that includes this Privacy Policy, Personal Information Protection Rules, Personally Identifying Information Protection Rules, and related company bylaws and rules and strives to maintain and improve them continually.

  7. Providing Personal Information etc. to third parties

    BVAM will not disclose Personal Information to third parties without the prior consent of the individual concerned, except as required by laws or regulations. BVAM will not disclose specific personal information including individual numbers to third parties except as required by laws or regulations.


For any queries or complaints, please contact below.

Personal Information Inquiry Desk
Bayview Asset Management Co., Ltd.
Personal Information Inquiry Desk c/o the Compliance Office. (Office hours 9:00 to 17:00)
Bancho-House, 29-1 Ichibancho, Chiyoda-ku, Tokyo 102-0082 Japan
Tel +813-5210-3342

Please note that we are a member of the following two associations authorized by the government.

The name of the authorized association and its inquiry desk
Japan Investment Advisers Association (Inquiry and Claim Desk +813-3663-0505)
The Investment Trusts Association, Japan (Investors Inquiry Desk +813-5614-8440)

Purposes of use of Personal Information

  1. For promotion and sales activities related to BVAM's investment advising, discretionary investment, investment trust, and other products and services and to provide information on related services.
  2. For the promotion, sales, and services related to the financial instruments offered by BVAM or its affiliated companies and partners and to provide information on affiliated companies and partners.
  3. To judge the suitability of products and services to be offered in light of their conformity to client needs and other principles.
  4. To verify the identity of clients and/or their proxies.
  5. To report to clients their portfolio balances and the result of investment management.
  6. To carry out operational procedures related to transactions between clients and counterparties.
  7. To fulfill exercise rights and fulfill responsibilities imposed by contracts with clients and by laws and regulations.
  8. For research and development on financial instruments and services, through means including market research, data analysis, and surveys.
  9. In cases such as when entrusted by other businesses with all or part of the processing of personal information, to perform such entrusted duties appropriately.
  10. To maintain proper and smooth transactions between clients and counterparties.

Purposes of use of specific personal information including individual number

  1. Administrative procedures for preparation of payment statements related to transactions with clients
  2. Administrative procedures related to preparation of income tax withholding statements, dependent deduction (change) applications, and other documents
  3. Administrative procedures related to individual residents' tax
  4. Administrative procedures for notices, applications, and invoices related to employment insurance
  5. Administrative procedures for notices, applications, and invoices related to health insurance and employees' pension insurance
  6. Administrative procedures for notices, applications, and invoices related to Type III insured persons under the National Pension system
  7. Other administrative procedures related to individual numbers as established by laws and regulations.
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