As from June 1, 2009, amendments to the so-called firewall regulations came into effect in Japan. The amendments allow non-public client information to be exchanged and shared among affiliated companies where the client has been reasonably granted the opportunity to decline such information sharing. In this context, Morgan Stanley MUFG Securities Co., Ltd. (“MSMS”) may exchange and share non-public information about you among Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. (“MUMSS”) and the affiliated companies of MSMS in Japan (collectively with MUMSS, “Relevant Entities”(＊) and each, a “Relevant Entity”) after notifying you in accordance with Paragraph 2, Article 153 of the Cabinet Office Ordinance regarding Financial Instruments Trading Business under the Financial Instruments and Exchange Law (“FIEL”). If you have received a letter regarding the sharing of non-public information about you between MSMS and Relevant Entities but would like us not to exchange and share such information with Relevant Entities, please contact us at the contact point described below.
- ＊“Relevant Entities” include the present and future Parent Entities, etc. (as defined in Paragraph 4, Article 31-4 of the FIEL) and Subsidiary Entities, etc. (as defined in Paragraph 4, Article 31-4 of the FIEL) of MSMS.
Note: This notice applies to our clients who have received a letter titled “Notice Regarding Sharing of Information (Explanation of the “Opt-out Method” under the FIEL)” from Morgan Stanley MUFG Securities Co., Ltd. (or MSMS) and Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. (or MUMSS) in their joint names. If you are a client of our Global Capital Markets, Fixed Income Division or Consolidated Equities Division and have received a letter regarding the sharing of non-public information about you between MSMS and the affiliated companies of MSMS (excluding MUMSS) in Japan, please see Sharing Non-Public Client Information among Morgan Stanley Group Companies in Japan for further details.
1. Scope of non-public information shared with Relevant Entities
Non-public client information obtained by MSMS and Relevant Entities
Note: We will, however, comply with the terms and conditions of any specific confidentiality agreement which we have entered into with you.
2. Scope of entities within which non-public information is shared
MSMS and Relevant Entities
3. Ways of sharing non-public information
MSMS and Relevant Entities will take due precautions to prevent information leakage or any similar incident and appropriately exchange and share non-public information about you.
4. Measures with which we will handle non-public information
MSMS and Relevant Entities will, when sharing non-public information about you in accordance with their internal policies on information management, properly manage and control such information by adhering to the relevant laws and regulations and their own internal rules in order to prevent non-public information from being misused or leaked.
5. Purposes for the use of shared non-public information
To provide clients with higher quality financial services by taking advantage of Morgan Stanley group’s global network.
6. Information control management where MSMS and Relevant Entities cease sharing of non-public information
If you request us or any Relevant Entity to refrain from sharing non-public information about you, we will promptly stop providing any Relevant Entity with such non-public information obtained thereafter.
Note: MSMS and Relevant Entities may, even after your request was made, continue to use non-public information about you that they have received prior to your request. MSMS and Relevant Entities will take due precautions to prevent information leakage or any similar incident or any misuse of information and strictly control and manage such non-public information about you.
7. Scope of clients to which this notice applies
If you have or will have given a written consent to the sharing of non-public information about you between MSMS and Relevant Entities, this notice will not apply to you.
This notice applies to our clients who have received a letter titled “Notice Regarding Sharing of Information (Explanation of the “Opt-out Method” under the FIEL)” from Morgan Stanley MUFG Securities Co., Ltd. (or MSMS) and Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. (or MUMSS) in their joint names. If you would like to confirm whether we have sent you such letter, please contact us at the contact point described below.
If you are a client of our Global Capital Markets, Fixed Income Division or Consolidated Equities Division and have received a letter regarding the sharing of non-public information about you between MSMS and the affiliated companies of MSMS (excluding MUMSS) in Japan, please see Sharing Non-Public Client Information among Morgan Stanley Group Companies in Japan for further details.
8. If you would like non-public information about you not to be exchanged or shared between MSMS and Relevant Entities, please contact the unit in MSMS described below. Alternatively, you can contact your Morgan Stanley representative. Upon receiving your request, we will cease providing your non-public information to any other Relevant Entity.
Legal and Compliance Division
Morgan Stanley MUFG Securities Co., Ltd.
Otemachi Financial City South Tower
1-9-7 Otemachi, Chiyoda-ku, Tokyo 100-8104
Tel: 03-6836-5000 (switchboard)
Hours: 9:30 a.m. – 5:00 p.m. (Monday to Friday except for public holidays)