Morgan Stanley MUFG Securities Co., Ltd. (“Company”) may share your non-public information held by the Company with the MS Japan Group Companies (as defined in Paragraph 2 below) to the extent required for the following purposes as described below.
This notice applies only to the clients of the Company who have received a letter based on the framework for providing opt-out opportunities in connection with the sharing of your non-public information held by the Company related to the overall business of the Morgan Stanley Group (this framework is hereinafter referred to as the “Framework”).
1. Scope of non-public information to be shared with parent/subsidiary corporations, etc.
The scope of non-public information to be shared with parent/subsidiary corporations, etc. will be your non-public information held by the Company in relation to the Company’s business; provided, however, that, if we have separately executed a non-disclosure agreement with you, then such scope shall be pursuant to the terms and conditions of the non-disclosure agreement.
2. Scope of parent/subsidiary corporations, etc. with which non-public information is to be shared
The scope of parent/subsidiary corporations, etc. with which non-public information is to be shared will be the Company’s current and future parent corporation, etc. (referring to the “Parent Juridical Person, etc.” defined in Article 31-4, Paragraph 3 of the Financial Instruments and Exchange Act) and subsidiary corporation, etc. (referring to the “Subsidiary Juridical Person, etc.” defined in Article 31-4, Paragraph 4 of the Financial Instruments and Exchange Act) (but excluding Mitsubishi UFJ Morgan Stanley Securities Co., Ltd.; hereinafter collectively referred to as “MS Japan Group Companies”). The current MS Japan Group Companies include Morgan Stanley Japan Holdings Co., Ltd., Morgan Stanley Capital K.K. and Morgan Stanley Investment Management (Japan) Co., Ltd.; provided, however, that, if we have separately executed a non-disclosure agreement with you, then such scope shall be pursuant to the terms and conditions of the non-disclosure agreement.
3. Method of sharing non-public information
The Company will provide information verbally, in writing, via email, by giving access to a shared database, or based on other appropriate methods upon paying careful attention to prevent information leakage.
4. Measures with which we will manage non-public information
The MS Japan Group Companies that receive the provision of your non-public information will take measures required for the prohibition of unintended use and the prevention of leakage of your non-public information pursuant to laws and regulations as well as their own confidentiality/information management rules in accordance with their basic policies related to information management.
5. Purpose of use of non-public information
The purpose of use of your non-public information will be to provide high quality services to you by leveraging the strengths built and collected by each Morgan Stanley Group Companies.
6. Information control management in cases where we cease sharing of non-public information with parent/subsidiary corporations, etc.
If you request the Company to cease the sharing of your non-public information with the MS Japan Group Companies, the Company will promptly cease the sharing of your non-public information with the MS Japan Group Companies, and your non-public information will thereafter no longer be shared between the Company and the MS Japan Group Companies unless the sharing of such information is permitted under applicable laws.
*With regard to information which had been shared between the Company and the MS Japan Group Companies before the Company received your request to cease the sharing of such information, please note in advance that the Company and the MS Japan Group Companies may continue to use such information. The Company and the MS Japan Group Companies will also strictly manage such information upon paying careful attention to prohibit the unintended use and prevent the leakage of such information.
*When the Company and the MS Japan Group Companies are to solicit clients to purchase financial products, the Company and the MS Japan Group Companies will do so pursuant to their solicitation policies. For details regarding the solicitation policies of the Company and the MS Japan Group Companies, please visit their websites.
*Contact information for you to notify us that you do not allow the sharing of your non-public information or requesting the cessation thereof*
If you do not allow the Company to share your non-public information with the MS Japan Group Companies or if you wish to request to cease the sharing of your non-public information between the Company and the MS Japan Group Companies, please contact your sales rep.
You may also contact the following in addition to your sales rep.
Contact: Morgan Stanley MUFG Securities Co., Ltd.
Address: Otemachi Financial City South Tower 1-9-7 Otemachi, Chiyoda-ku, Tokyo
Business Division in Charge: Legal and Compliance Division
Tel: 03-6836-5000 (main number)
Hours: 9:30 a.m. to 5:00 p.m. (excluding Saturdays, Sundays, national holidays and year-end and new-year non-business days)
7. Scope of clients to which this notice applies
This notice will not apply to you if we have previously obtained a written consent from you regarding the sharing of your non-public information between the Company and the MS Japan Group Companies, or if we obtain such written consent from you in the future.
Please note that the Morgan Stanley Group also has the following frameworks in addition to the Framework as the frameworks related to the provision of opt-out opportunities to clients.
- Framework for providing opt-out opportunities in connection with the sharing of non-public client information with Mitsubishi UFJ Morgan Stanley Securities Co., Ltd., etc.
- Framework for providing opt-out opportunities in connection with the sharing of non-public client information in the business of Morgan Stanley Investment Management (Japan) Co., Ltd. and Morgan Stanley MUFG Securities Co., Ltd. related to the MSIM Strategy
- Framework for providing opt-out opportunities in connection with the sharing of non-public client information in the business of Morgan Stanley Investment Management (Japan) Co., Ltd. and Morgan Stanley Capital K.K. in connection with the MSIM Strategy
Since this notice is a disclosure based on the Framework, when confirming the latest information related to the Framework on our website, please make sure that you read the explanation of the Framework and not the explanation of the other frameworks.
If you are unsure which disclosure on our website pertains to the provision of opt-out opportunities related to the Framework, or if you have any question regarding the sharing of your non-public information based on the Framework, please contact the sales rep who gave you this notice based on the Framework or the contact indicated in Paragraph 6 above.