Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. believes it is the Group’s social responsibility to handle customers’ personal information properly under the Group’s Management Philosophy. The following is our Personal Information Protection Policy.
We intend to do our best to protect our customers’ personal information by ensuring that every executive and employee complies with this Policy.
For details, please refer to “Handling of Personal Information.”
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We will comply with laws and regulations regarding the proper handling of customers' personal information. |
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We will acquire personal information properly. We will notify and/or disclose the purpose of such personal information to customers and will not use it beyond the disclosed purpose except as permitted by law. |
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We will educate all of our executives and employees so that they understand the importance of protecting personal information and handle customers’ personal information properly. |
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We will take necessary and appropriate measures to ensure the security of personal information and will endeavor to prevent improper access to, alteration, loss and/or leakage of personal information. |
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We will not supply any personal information to third parties without the prior consent of the individual concerned, except as permitted by law. |
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When outsourcing the handling of personal information to other institutions, we will monitor the institutions concerned to ensure that appropriate measures are taken to protect customers’ personal information. |
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We will establish procedures for correcting and disclosing personal information of customers. We are also willing to receive opinions and inquiries regarding the handling of such personal information. |
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We will continually review and improve our management systems to protect personal information. |
Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. pays the utmost attention to the handling of customers´ personal information, based on the Personal Information Protection Policy, in order to enable customers to use our services with assurance.
We hereby disclose the following regarding our handling of personal information.
If we directly acquire personal information concerning a customer that has been recorded in a written document, etc. from the customer, we will specify the purpose for which it will be used beforehand. If we directly acquire personal information from a customer verbally through another type of method, or if we acquire the personal information indirectly through publicly available information or from a person other than the customer himself/herself, etc. as well, we will notify or disclose the purpose of use.
We will handle customers´ personal information in the case of the businesses mentioned in (1) below within the scope necessary to achieve the purposes of use mentioned in (2) below, and we will not use customers´ information beyond the scope that is necessary to achieve the purposes of use, unless we obtain consent from customers beforehand or it is permitted to do so based on laws or regulations.
Furthermore, we shall specifically define the purposes of use so that it will be clear to customers and endeavor to limit the purposes of use according to each situation where personal information is obtained. For example, we will limit the use of the responses to various questionnaires to the collection of data from the responses.
(1)Details of our businesses
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Financial instruments business (securities trading, brokerage of securities trading, securities underwriting, etc.) and operations associated with financial instruments business |
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Operations that a financial instruments business operator is permitted to conduct by law, such as insurance solicitation and operations associated with these businesses |
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Other operations that a financial instruments business operator is permitted to conduct and operations associated with these (including operations that we will be permitted to handle in the future) |
(2)Purposes of use
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To solicit and sell securities and financial instruments and also introduce related services, based on the Financial Instruments and Exchange Act |
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To solicit and sell financial instruments of us, our affiliated companies or allied companies and also introduce related services |
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To determine the appropriateness of providing products and services that is in line with the principle of suitability, etc. |
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To confirm that the customer is the person himself/herself or the agent of himself/herself |
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To report to the customer the results of transactions and deposit balances, etc. |
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To carry out clerical work related to transactions with customers |
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To carry out research and development for financial instruments and services through the implementation of market research, data analysis and questionnaires, etc. |
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If the processing of all or part of the personal information has been consigned by other business operators, etc., to appropriately carry out such consigned operations |
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To exercise rights and fulfill obligations based on contracts and laws, etc. |
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To make decisions regarding transactions or to manage those transactions |
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In addition, to promote and perform transactions appropriately and smoothly |
However, based on provisions such as Cabinet Office Ordinances relating to the Financial Instruments and Exchange Act, etc., we shall not use or provide to third parties for purposes other than ensuring appropriate operational management and other purposes accepted as necessary any information concerning race, creed, family origin, registered domicile, health care, or past criminal records or any other special private information relating to customers that we become aware of when conducting operations.
Furthermore, for the purpose of accurately comprehending the details of customers´ transactions and inquiries, etc., we will usually record the content of phone calls with customers at sales offices. Please be forewarned of this.
In some cases, we will share personal data relating to the executives, employees or agents (hereinafter referred to as “executives and employees, etc.”) of corporate customers associated with investment banking operations that support the issuance of securities and M&A, etc. with Morgan Stanley (a US corporation) and its consolidated subsidiaries.
(1)Items of personal data shared
Information relating to the executives and employees, etc. of corporate customers such as the name, address, date of birth, phone number, e-mail address, and job positions of executives and employees, etc. of corporate customers. |
(2)Range of persons that share the information
We, Morgan Stanley(abovementioned US corporation) and its consolidated subsidiaries |
(3)Purposes of use by persons sharing the information
To develop and provide higher quality services to corporate customers and to promote appropriate and smooth transactions by utilizing the comprehensive expertise of us and the Morgan Stanley Group |
(4)Persons with responsibility for the management of the personal data concerned
Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. |
We will appropriately acquire personal information from customers.
For example, we may acquire personal information from the following kinds of information sources.
(Examples of information sources for acquisition)
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As outlined below, with regard to solicitation through the sending of direct mail and phone calls, etc. relating to sales of products and services by us, when we have received a request to cease such activities from customers, we will take measures to stop subsequent use and provision for such purposes without delay.
(1)What can be ceased Marketing information through the sending of our promotional materials and printed matter, etc. However, it is not possible to cease enclosing various kind of information materials or printing in the margins of documents, etc. |
(2)Procedure for cessation Please contact our head office, branch or the contacts mentioned below. |
Except for cases based on laws and regulations, cases when we consign personal information within the scope necessary to achieve the purposes of use, etc., and cases permitted by laws and regulations, we will not provide personal information without the consent of the customer to third parties outside us.
We will manage customers´ personal information appropriately by implementing necessary and appropriate organizational, human, and technological security control measures to prevent improper access to personal information as well as the loss, alteration or leakage, etc. of personal information.
When we outsource all or part of the handling of personal information in association with work delegation, etc., we will select a subcontractor based on our prescribed standards. In addition, we will conduct necessary and appropriate supervision of the subcontractor, by entering a contract concerning the handling of personal information with the subcontractor and other such means, to ensure security control measures that conform to our Personal Information Protection Policy and regulations, etc.
For example, we outsource the handling of personal data in the kinds of cases mentioned below.
(Examples of outsourced clerical work)
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If we receive a request from a customer for notification of the purposes of use, disclosure, or amendment, or the cessation of use, etc. (hereinafter referred to as “Disclosure, etc.”) in relation to personal data concerning the customer that we retain, based on the Act on the Protection of Personal Information, we will respond to this request in accordance with the following procedure, except in the case when disclosure, etc. is not required by laws and/or regulations.
(1)Persons permitted to carry out procedure to request disclosure, etc.
1) |
The customer himself/herself |
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The legal representative of the customer if the customer is a minor or an adult ward |
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A person who has been entrusted by the customer himself/herself and has carried out our prescribed procedure (appointed representative) |
(2)Procedure to request disclosure, etc.
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If the customer himself/herself visits a branch |
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Please fill in the necessary items in our prescribed request form for disclosure, etc., and visit the branch where the customer himself/herself has an account during branch business hours with your seal (registered seal) and the personal verification documents that are prescribed in our procedure. |
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If the customer himself/herself carries out the procedure by mail |
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If it is difficult to visit a branch, please contact and consult the branch where the customer himself/herself has an account. |
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If a legal representative or an appointed representative requests for the procedure of disclosure, etc. |
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Please visit the branch where the customer himself/herself has an account during branch business hours with our prescribed request form for disclosure, etc., the representative's seal (officially registered seal), the personal verification documents prescribed in our procedure for the customer himself/herself to whom disclosure, etc. applies, the personal verification documents and the documents that prove the right of representation prescribed in our procedure for representatives. |
(3)Fees for disclosure procedure
With regard to the disclosure procedure, the following fees will be charged in advance. In cases when we cannot respond to a request for disclosure based on laws and regulations as well, we may receive prescribed fees.
1) |
In the case of a request for disclosure concerning basic items such as name and address |
2) |
In the case of a request for disclosure concerning items other than those above, we will charge a fee corresponding to the details of the request. |
(4)Method and time of responses to requests for disclosure, etc.
If we receive a request for disclosure, etc., we will respond within a reasonable period of time by mailing written documents. However, please be forewarned that a response may take considerable time depending on the details of the request.
When a customer requests the disclosure, etc. of personal data held, or when making an inquiry, complaint, or seeking consultation, etc. with regard to our security control measures for personal information or other handling of personal information, please contact the following.
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We are an Association Member of the Japan Securities Dealers Association, an authorized personal information protection organization authorized by the Financial Services Agency. The Association's Personal Information Office handles complaints and requests for advice concerning the handling of personal information by Association Members.
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These handling provisions will take effect on May 1st, 2010.
To ensure even greater protection of customers´ personal information or owing to changes in laws and regulations, etc., we may amend our Personal Information Protection Policy and the Handling of Personal Information. In particular, as we will post important changes on our corporate website and publicly disclose them by displaying them at the head office and branches, you are kindly requested to check regularly for such changes.
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