Sharing information on corporate customers within the Group

Tokai Tokyo Financial Holdings, Inc.
Tokai Tokyo Asset Management Co., Ltd
Tokai Tokyo Wealth Consulting Co., Ltd
Tokai Tokyo Investment Co., Ltd
Tokai Tokyo Research Institute Co., Ltd
PINNACLE Inc.
Pinnacle TT Solutions Inc.

Tokai Tokyo Financial Group is strengthening cooperation among its group companies so that we can provide comprehensive financial services that take advantage of the expertise of each group company to serve our customers.
Therefore, pursuant to Article 153, paragraph (1), items (vii) and (viii) of the Cabinet Office Ordinance on Financial Instruments Business, etc. (hereinafter referred to as the “FIB Cabinet Office Ordinance”) and paragraph (2) of the same Article, the “opt-out method ”* allows us to share information on applicable corporate customers with Tokai Tokyo Securities Co., Ltd. as described below.

*The “opt-out method” refers to a method in which, if an opportunity to suspend the provision of information is appropriately provided to the customer by notifying the customer in advance that their information will be provided to the parent corporation, etc., the customer will be treated as having given written or electromagnetic record consent to such provision of information until the customer requests to suspend this provision.

1. Customers subject to the provision of information through the “opt-out method”

Customers subject to the provision of information by the “opt-out method” are corporations (hereinafter referred to as “listed companies, etc.”) that fall under any of the items in FIB Cabinet Office Ordinance Article 123, paragraph ⑴, item (xviii)(g)⑴ through ⑷ below.

  • ⑴  Listed companies, etc. and their subsidiaries, etc. prescribed in the Financial Instruments and Exchange Act (hereinafter referred to as the “FIEA”) Article 163, paragraph ⑴.
  • ⑵  Stock companies which intend to list their stocks on financial instruments exchanges (limited to those which have concluded a contract to receive necessary advice to conform to the criteria for listing or a contract to receive auditing by certified public accountants or auditing firms in accordance with Article 193-2 of the FIEA) and their subsidiaries, etc.
  • ⑶  A person who has submitted an annual securities report as prescribed in Article 24, paragraph ⑴ of the FIEA (including cases where it is applied mutatis mutandis pursuant to Article 24, paragraph ⑸ of the FIEA (including cases where it is applied mutatis mutandis pursuant to Article 27 of the FIEA) and Article 27 of the FIEA) and its subsidiaries, etc.
  • ⑷  Qualified institutional investors (excluding those listed in Article 10, paragraph ⑴, items (xxiii) (limited to the part pertaining to (a)) and (xxiv) of the Cabinet Office Ordinance on Definitions under Article 2 of the FIEA) and its subsidiaries, etc.

*We will not provide information about customers who have requested us to suspend this provision.

*For corporate customers who do not fall under “listed companies, etc.” above, we will receive written or electromagnetic record consent from the customer in advance of sharing information with the Group.

2. Scope of information

Information on corporate customers that has not been disclosed to the public, including information available to date and information that may come available in the future (including “non-public information” specified in the FIB Cabinet Office Ordinance)

3. Recipient of shared information

Tokai Tokyo Securities Co., Ltd.

4. Method of exchanging information

In addition to hand delivery to the recipient, delivery will be made by mail, fax, e-mail, etc. We will select an appropriate method of giving and receiving information, taking into consideration the importance of the information and the nature of the medium in which the information is recorded, after confirming the appropriateness of the recipient, the content of the information to be provided, the method of providing it, the purpose of use, etc., while paying sufficient attention to information leakage, etc.

5. Method of managing information at recipient

In accordance with laws and regulations as well as internal rules concerning information management at each company, we will manage information by taking all possible measures to prevent information leakage and prohibiting the use of information for other purposes.

6. Purpose of use by the companies

  • ⑴  To provide comprehensive financial services utilizing the expertise of each Group company
  • ⑵  To provide suggestions and information regarding various products and services, and for research and development

7. Method of “request for suspension of information provision”

If you do not agree to the provision of information through the “opt-out method,” you will need to submit a “request for suspension of information provision” by submitting the “application form for suspension of information provision”. If you have no objection to the provision of information, you do not need to contact us.

“Application form for suspension of information provision” (PDF: 81KB)

*Contact
Tokai Tokyo Financial Holdings, Inc.
・Risk Management and Compliance Department, Opt-Out Contact
2-5-1 Nihonbashi, Chuo-ku, Tokyo
TEL: 03-3517-8404

* Inquiries regarding this matter can be made at the above contact.

8. Information management method in the event of “request for suspension of information provision”

If a customer requests to suspend providing information, we will immediately stop providing information.
However, even if a “request for suspension of information provision” is submitted, the Company may transfer information for which written or electromagnetic record consent is not required pursuant to the FIEA and other laws and regulations. For example, this includes:

  • ⑴  Transfer of information necessary for operations related to internal management (operations related to legal compliance management, loss risk management, internal audit and inspection, finance, accounting, and taxation) and maintenance and management of electronic data processing systems
  • ⑵  Transfer of information based on laws and regulations

*Information provided before the “request for suspension of information provision” may continue to be held and used by the recipient. Such information shall be managed according to the method described in 5. above.

9. Points to note

  • ⑴  For customers who have already given written consent (consent form), we will continue to exchange information based on such written consent.
  • ⑵  With regard to the handling of non-public information and other information, if there are other agreements that are given priority (non-disclosure agreements, etc.), such agreements shall prevail.

(end)