Sharing of undisclosed information with RBS Group companies
This website notice advises our customers how undisclosed information are dealt with under the amended firewalls regulations.
On June 1, 2009, amendments to the so-called firewalls regulations came into force. The amendments allow undisclosed information about a customer to be exchanged and shared among our group companies, provided that the customer has been appropriately granted an opportunity to block such sharing of information between the group companies (opt-out opportunity) and that the customer does not choose to opt out.
In this context, we would like to exchange and share undisclosed information about your company between our group companies (including The Royal Bank of Scotland plc; hereinafter individually or collectively referred to as “RBS Group Companies”) in accordance with Article 153.2 of the Cabinet Office Ordinance regarding Financial Instruments Business (“Business Ordinance”).
If you do not wish us to exchange and share undisclosed information about your company between RBS Group Companies, please contact the help desk indicated below.
1. Scope of undisclosed information to be exchanged between RBS Group Companies
Undisclosed information about your company that has come to our knowledge until now (meaning “undisclosed information” as defined under Article 1, Paragraph 4, Item 12 of the Business Ordinance, including the information on past and planned transactions, and the timing thereof; hereinafter “undisclosed information”) and undisclosed information about your company that may come to our knowledge in the future.
2. Scope of RBS Group Companies with which undisclosed information is exchanged
Parent company, etc. (as defined under Article 15-16, Paragraph 1 of the Financial Instruments and Exchange Law Enforcement Order) and Subsidiary company, etc. (as defined under Paragraph 2 of the said Article) of The Royal Bank of Scotland plc, Tokyo Branch.
3. Methods of exchanging and sharing undisclosed information
The exchange and sharing of undisclosed information by RBS Group Companies shall be made verbally, in writing, by fax or email, by grating access to or sharing databases or by other means.
4. Methods of managing undisclosed information by the information recipients
In order to prevent unauthorized access and improper use of undisclosed information of our customers, the RBS Group Companies receiving the undisclosed information shall take necessary control measures including restricting access.
5. Purpose of the use of undisclosed information by the recipient
RBS Group Companies may use undisclosed information about your company for the purpose of managing business relationships with your company and/or proposing or providing financial products and services to your company.
6. Methods of managing undisclosed information in the event of opt-out
If your company has chosen to opt out from the sharing of undisclosed information by RBS Group Companies, we shall stop providing undisclosed information about your company and shall properly manage it in accordance with applicable laws and regulations. Please be advised that RBS Group Companies may continue to keep and use the undisclosed information about your company that has been received prior to your opt-out request.
７. Opt-out Opportunity
When we wish to exchange and share undisclosed information about out customer between RBS Group Companies, we will send in advance a notification explaining the Opt-out Opportunity to the relevant customers. If you are uncertain whether you are granted the Opt-out Opportunity, please contact the help desk indicated below.
8. If your company do not consent to our exchanging and sharing of undisclosed information about your company, we shall stop providing it upon your request. Please direct such request to the help desk indicated below.
〒100-0005
Shin-Marunouchi Center Bldg.
1-6-2 Marunouchi Chiyoda-ku Tokyo
RBS Securities Japan Limited, Tokyo Branch
Telephone number：03-6266-3000
（Hours: Monday to Friday, 9 a.m. to 5 p.m.）
