Morgan Stanley Investment Management (Japan) Co., Ltd. (“MSIMJ”) and Morgan Stanley MUFG Securities Co., Ltd. (“MSMS”; MSIMJ and MSMS are hereinafter collectively referred to as the “Companies”) may provide your non-public information held by the Companies to the Firms Concerned (as defined in Paragraph 2 below) of the Companies to the extent required for the following purposes in connection with the business of introducing to you the management strategy (“MSIM Strategy”) of Morgan Stanley Investment Management (“MSIM”), which is an asset management division of the Morgan Stanley Group, as described below.
This notice applies only to the clients of the Companies who have received a letter based on the framework for providing opt-out opportunities in connection with the sharing of your non-public information related to the MSIM Strategy among the Morgan Stanley Group Companies (this framework is hereinafter referred to as the “Framework”) in connection with the Companies providing your non-public information to the affiliates of the Companies.
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 Companies in relation to the business of introducing the MSIM Strategy to you; 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.
Please note that the business of introducing the MSIM Strategy includes MSIMJ’s discretionary investment management business, investment advisory business, type I financial instruments business (dealing of private placement or intermediary for sales and purchase of securities), type II financial instruments business (dealing of private placement) and other ancillary business, as well as MSMS’s type I financial instruments business, type II financial instruments business and other ancillary business.
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 Companies’ 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 Mitsubisih UFJ Morgan Stanley Securities., Ltd.; hereinafter collectively referred to as the “Firms Concerned”). The current Firms Concerned include Morgan Stanley Japan Holdings Co., Ltd., Morgan Stanley Capital K.K. and Morgan Stanley Japan Group Co., Ltd. among other companies, and MSIMJ’s Firms Concerned include MSMS and MSMS’s Firms Concerned include MSIMJ, respectively; 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 Companies 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 Firms Concerned 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 the basic policy of the Companies related to information management.
5. Purpose of use of non-public information
The purpose of use of your non-public information, in introducing the MSIM Strategy to you, 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 Companies to cease the sharing of your non-public information with the Firms Concerned, the Companies will promptly cease the sharing of your non-public information with the Firms Concerned, and your non-public information will thereafter no longer be shared between the Companies and the Firms Concerned unless the sharing of such information is permitted under applicable laws.
*With regard to information which had been shared between the Companies and the Firms Concerned before the Companies received your request to cease the sharing of such information, please note in advance that the Companies and the Firms Concerned may continue to use such information. The Companies and the Firms Concerned will also strictly manage such information upon paying careful attention to prohibit the unintended use and prevent the leakage of such information.
*When the Companies are to solicit clients to purchase financial products, the Companies will do so pursuant to their solicitation policies. For details regarding the Companies’ solicitation policies, please visit the Companies’ 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 Companies to share your non-public information with the Firms Concerned or if you wish to request to cease the sharing of your non-public information between the Companies and the Firms Concerned, please contact your sales rep.
You may also contact the following in addition to your sales rep.
Contact: Morgan Stanley Investment Management (Japan) Co., Ltd.
Address: Otemachi Financial City South Tower 1-9-7 Otemachi, Chiyoda-ku, Tokyo
Business Division in Charge: Legal and Compliance Division
Tel: 03-6836-5100 (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)
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 Companies and the Firms Concerned, 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 related to the general business of the Morgan Stanley Group
- 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 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.