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 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.
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.
*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.
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)
Tokai Tokyo Securities Co., Ltd.
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.
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.
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.
Tokai Tokyo Financial Holdings, Inc.
・Risk Management and Compliance Department, Opt-Out Contact
2-5-1 Nihonbashi, Chuo-ku, Tokyo
* Inquiries regarding this matter can be made at the above contact.
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:
*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.