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Sharing of Corporate Client Information with Mizuho Financial Group Companies

Mizuho Securities Co., Ltd.

Thank you for your continued relationship with Mizuho Financial Group.
Mizuho Securities Co., Ltd. (MHSC) is striving to provide higher value–added financial products and services, and to better assist its corporate clients, by strengthening cooperation with Mizuho Financial Group companies (Group Companies).
In light of the foregoing, MHSC wishes to provide to and share with Group Companies, the information of the corporate clients detailed below, in accordance with the "opt–out method"(*) as stipulated in Articles 123(2) and/or 153(2) of the Cabinet Office Ordinance regarding Financial Instruments Business, etc.
In advance of providing the information to Group Companies by the "opt–out method", MHSC will provide prior written notice to the corporate clients.
MHSC requests those corporate clients who receive such written notice but do not consent to the provision of information to kindly contact us at "Inquiries & Contact Information" as shown below. Other inquiries regarding this matter are also accepted at "Inquiries & Contact Information" as shown below.

  • *The "opt–out method" is a method whereby a corporate client's "written consent" to the provision of the corporate client's information to Group Companies is deemed to have been obtained through prior notice or by other means, under the condition that such corporate client is offered an adequate opportunity to stop the provision of information, such as by advance notice to the corporate client of the provision to Group Companies of information relating to the corporate client, until the client's request to stop the provision of information is received.

1. Corporate Clients Subject to the Provision of Information According to the "Opt–Out Method"

  • This notice applies to our corporate clients:
    • to whom MHSC sent the notice on the provision of the information to Group Companies by the "opt–out method" by mail or e–mail, or delivered by MHSC,
    • who have various needs for financing, investing or M&A, etc. utilizing the financial and capital markets, and
    • who have a need for comprehensive financial services provided by Mizuho Financial Group.

2. Scope of information

Corporate clients' undisclosed information entrusted to us to date or to be entrusted in the future (including "non–public information" as defined in the Cabinet Office Ordinance regarding Financial Instruments Business, etc.).

3. Recipient of Information

Mizuho Financial Group, Inc. (MHFG) and Group Companies within MHFG's consolidated subsidiaries and equity method affiliates shown in the Annual Securities report, which are specified in the aforementioned notice sent by the "opt–out method".

4. Method for Sharing of Information

Information will be shared by hand, mail, FAX, e–mail, or other means.

However, appropriate transfer methods will be selected considering factors such as the importance of the information and the type of storage medium on which the information is recorded, after confirming the appropriateness of the recipient, the content of the information to be provided, the method of provision, the purpose for the use of the information, etc.

5. Method for Managing Information at Recipient

Information will be managed for a prescribed retention period, taking appropriate security measures at each management phase (acquisition/input, use/processing, retention/storage, transfer/transmission, deletion/disposal) according to the importance of the information, the type of storage medium on which the information is recorded, etc.

6. Purpose for Use of Information by Recipients

  • (1)For proposal/introduction and research/development of their products and services, etc.
  • (2)For decision–making concerning the provision of their products and services, etc.
  • (3)For appropriate execution of management and administrative operations as a group.

The recipients will appropriately use the information in accordance with their "Financial Instrument Solicitation Policy" when proposing or introducing their products and services to their clients.

7. Means for making a "Request to MHSC to stop the Provision of Information"

Corporate clients who do not consent to the provision of their information according to the "opt–out method" should make a "Request to Stop the Provision of the Information" by e–mailing to "Inquiries & Contact Information" as shown below. No action of any kind is necessary for corporate clients who consent to the provision of information.

8. Method for Managing Information upon client's "Request to Stop the Provision of Information"

  • (1)Upon a corporate client's "Request to Stop the Provision of Information", the provision of information shall be promptly stopped.
  • (2)Notwithstanding the foregoing, MHSC may provide information for which written consent of the client is not required under the Financial Instruments and Exchange Act or other laws and regulations, even after receiving such "Request to Stop the Provision of Information". The following are some examples of the provision of the information for which written consent is not required.
    • Provision of information which is necessary for carrying out internal management affairs (affairs related to compliance management, risk management concerning loss, internal audits and internal inspections, finance, tax, or accounting) or maintenance and management of electronic data processing systems.
    • Provision of information pursuant to laws and regulations, etc.
  • (3)Information provided prior to receiving a "Request to Stop the Provision of Information" may continue to be stored and used by the recipient.
    The information that will continue to be stored by the recipient shall be managed according to the methods outlined in item 5. above.

9. Notes

  • (1)The information of clients that have granted written consent to the sharing of information will be shared among MHSC and Group Companies based on the relevant written consent.
  • (2)In cases where there are other prevailing agreements (confidentiality agreements, etc.), regarding the treatment of non–public information or other information, information shall be treated according to such other agreements.

"Inquiries & Contact Information"

[ For Clients in Japan ]

Customer Relations Office : 0120–324–051
Office Hours : from 8:40 to 17:10 from Monday to Friday,
excluding Dec 31 to Jan 3, and public, national and substitute holidays in Japan

[ For overseas Clients ]

Compliance Department : pur_in_optout@mizuho-sc.com
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