About Information Sharing with MUFG Bank, Ltd
About Information Sharing with MUFG Bank, Ltd.
(and on adoption of the Opt-out Method in accordance with the Financial Instruments and Exchange Act)
Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. ("MUMSS") hereby announces that MUMSS will share non-public information of clients with MUFG Bank, Ltd. ("MUFG Bank") (formerly the Bank of Tokyo-Mitsubishi UFJ, Ltd.) via MUS overseas subsidiaries*1 relating to transactions in fixed income business which have resulted from intermediary and/or agent services of MUMSS to MUFG Securities EMEA plc (" MUS(EMEA)"); as such, MUMSS is notifying you of the Opt-Out method*2 in accordance with the following conditions.
- *1 MUFG Securities EMEA plc (its former legal name is Mitsubishi UFJ Securities International plc), MUFG Securities Americas Inc. (formerly Mitsubishi UFJ Securities (U.S.A.), Inc.), MUFG Securities Asia Limited (formerly Mitsubishi UFJ Securities (HK), Limited), MUFG Securities Asia (Singapore) Limited (formerly Mitsubishi UFJ Securities (Singapore), Limited), and any consolidated subsidiaries in countries other than Japan under Mitsubishi UFJ Financial Group, Inc.("MUFG")
- *2The Opt-Out method is a method to share non-public information of clients with Japanese entities under the same consolidated financial group with the notice in advance about sharing information, until the client requests to suspend sharing the information, in accordance with Paragraph 2, Article 153 of the Cabinet Office Ordinance regarding Financial Instruments Business under the Financial Instruments and Exchange Act of Japan.
Scope of clients to which this notice applies
This notice applies to our clients;
- who trade or will trade transactions in fixed income business with MUS(EMEA), which have resulted from intermediary and/or agent services of MUMSS to MUS(EMEA), and
- who have received a letter titled “Notice on Information Sharing and on adoption of the Opt-out Method in accordance with the Financial Instruments and Exchange Act” from MUMSS.
Purpose of Use
To provide high quality financial service to clients, by leveraging the global network of the MUFG Group
Scope of Information to be Shared
Non-public information owned by MUMSS relating to Company concerning transactions in the fixed income business which have resulted from initial contact with you by MUMSS as part of its introduction/referral services to MUS(EMEA).
- *No information for which a non-disclosure agreement has been separately entered into will be shared without the prior consent of the Company.
The Company that receives the Information
Method of Information Sharing
MUMSS will share the information properly with MUFG Bank in accordance with our internal controls policies to prevent leakage of information and any other similar issue.
Management of Information by the Companies that Receives the Information
MUFG Bank will manage the information it acquires under the information sharing arrangement, in accordance with the relevant laws and regulations, its confidentiality and information management rules as well as other relevant rules, in line with its general information management policy, taking every appropriate measure for the purpose such as to prohibit out-of-scope use or prevent leakage of the information.
Suspension of Information Sharing
If the Company requests MUMSS to suspend sharing non-public information with MUFG Bank, MUMSS shall promptly suspend sharing of the information.
- *Please note that the information shared with MUFG Bank before the Company requests the suspension may continue to be used thereafter. MUFG Bank will manage the information in a strict manner by taking adequate measures to prohibit out-of-scope use and to prevent leakage of information.
- *For avoidance of doubt, the suspension does not affect the effectiveness of any existing agreement or consent by the Company unless otherwise agreed.
Request for suspension of information sharing
If the Company requests to suspend sharing the information with MUFG Bank, please contact the department or branch with which the Company trades.
The following departments at the headquarters also accept the notice.
- Mitsubishi UFJ Morgan Stanley Securities Co., Ltd.
- Otemachi Financial City Grand Cube, 1-9-2, Otemachi, Chiyoda-ku, Tokyo
- Wholesale Compliance Division (Person in charge of opt-out notice)
Please be advised that Each company under the MUFG group which mentioned in this website may possibly ask the clients to consent about sharing non-public information with any other company(ies) under the MUFG group in other methods. Please also be advised that, there will be any possibility that we may revise the treatment described in this website, we will announce in advance about the revise in way of announcement in this website etc.