Terms of Service

This website (hereinafter referred to as "this site") is intended to introduce information provided by New York Life Investment Management Asia Limited (hereinafter referred to as "our company") and other New York Life Investments group companies. All other New York Life Investments group companies, except for our company, are not registered as financial instruments business operators under the Financial Instruments and Exchange Act and are not under the jurisdiction of the Financial Services Agency.

This site is for general information purposes only. This site is not intended to provide investment advice, solicit the purchase or sale of securities or other financial instruments, or offer to participate in any trading strategy. Neither we nor any other company in the New York Life Investments group of companies represents or warrants the accuracy of the information contained on this site. In addition, the information contained herein may be changed in whole or in part without notice.

All intellectual property rights to the photographs, text, illustrations, logos, etc. posted on this site belong to our company. Copying, reprinting, distribution, modification, posting, or other commercial use is prohibited without prior written consent from our company.

You may also access the websites of other New York Life Investments group companies via links on this site. When using the websites of other New York Life Investments group companies, you should review the terms of use for each such website.

New York Life Investment Management Asia Limited
Financial Instruments Business Operator/Kanto Local Fincance Bureau (Kinsho) No. 2964
Investment Management Business, Investment Advisory and Agency Business, Type II Financial Instruments Business
Member of: The Japan Investment Advisers Association/The Type II Financial Instruments Firms Association

 

Personal Information Protection Declaration

April 10, 2023

New York Life Investment Management Asia Limited

New York Life Investment Management Asia Limited (hereinafter referred to as "our company") has established the following personal information protection declaration regarding the protection of customers' personal information, and declares that it will comply with this declaration. The basic policy regarding personal information protection set out in this declaration will be reviewed on an ongoing basis.

1. Compliance with Relevant Laws and Regulations
   We will comply with the Act on the Protection of Personal Information, other relevant laws and regulations regarding the protection of personal information, the guidelines of the Personal Information Protection Commission, the guidelines of certified personal information protection organizations, and this Personal Information Protection Declaration.
   
   
2. Purpose of Use of Personal Information
   Except when we obtain the customer's consent or when it is handled as an exception under laws and regulations, we will use the collected customer's personal information to the extent necessary to achieve the purpose of use and will not use it for any other purpose. We will notify you of the purpose of use of personal information in an easy-to-understand manner, such as by posting a notice at our Japanese branch.
   
   
3. Joint Use of Personal Information and Provition to Third Parties
   We strive to keep your personal information accurate and up-to-date. In order to prevent the leakage, loss, or damage of your personal information, we have established internal regulations regarding the protection of personal information and will review and revise these as necessary to establish an appropriate internal system and implement strict security measures. We will also properly supervise our officers, employees, and contractors and inspect their compliance.
   
   
4. Safety management measures for personal information
   We strive to keep your personal information accurate and up-to-date. In order to prevent the leakage, loss, or damage of your personal information, we will establish internal regulations regarding the protection of personal information and review and revise them as necessary, thereby establishing an appropriate internal system and implementing strict security measures. We will also properly supervise our officers, employees, and contractors and inspect their compliance status.
   
   
5. Main sources of personal information and outsourcing
   The main sources of personal information and the main operations outsourced are listed in "Main sources of personal information and the main operations outsourced" below.
   
   
6. Customer requests for disclosure, correction, etc. of retained personal data, and inquiries regarding the handling of personal information
   If we receive a request for disclosure, correction, etc. of the retained personal data of a customer that we hold, we will promptly respond to the request by the customer in accordance with the procedures we have established to disclose, correct, etc. the retained personal data of the customer himself/herself.For details, please contact your person in charge at our company or the contact details listed below
   
   For inquiries, please contact: New York Life Investment Management Asia Limited Compliance Department 03-6550-9921 (main reception)Otemachi Building 9F, 1-6-1 Otemachi, Chiyoda-ku, Tokyo 100-0004
   
   
7. Our company is a target business of the following authorized personal information protection organization
   Name of authorized personal information protection organization and contact point for complaint resolution
   Japan Investment Advisers Association
   Complaint Consultation Room Telephone: 03-3663-0505
   
   Type II Financial Instruments Firms Association
   General Affairs Division, General Affairs and Membership Department,
   Tel: 03-6910-3980
    

Purpose of use of personal information related to financial instruments business

We will handle your personal information to the extent necessary for the achievement of the following business activities and purposes of use.

Business Content

1. Investment management business and related businesses
   
   
2. Other businesses that investment management companies may operate and businesses incidental thereto (including businesses that will be permitted to be handled in the future.)
   
   
3. Investment advisory and agency services and related services
   
   
4. Other businesses that investment advisory and agency firms may engage in and businesses incidental thereto (including businesses that may be permitted to be handled in the future.)
   
   
5. As a Type II Financial Instruments Business, the business of handling private placements of securities set forth in Article 2, Paragraph 8, Item 9 of the Financial Instruments and Exchange Act and businesses incidental thereto (including businesses that will be permitted to be handled in the future)
    

Purpose of use

1. To carry out administrative work related to investment advisory contracts and discretionary investment contracts
2. To provide investment advisory services
3. To provide services related to the Type II Financial Instruments Business conducted by our company
4. To carry out other related business
5. To determine the appropriateness of the provision of products and services in light of the principle of suitability, etc.
6. To introduce services provided by our company or affiliated companies
7. To confirm that you are the customer, your agent, or a representative of a corporate customer, or the person in charge of transactions or their agent
8. To report transaction results, balances, etc. to customers
9. To conduct market research, data analysis, surveys, etc. to research and develop financial products and services
10. To properly and smoothly carry out transactions with customers and other business activities of the Company
     

Regarding joint use and provision of personal data to third parties
In order to achieve the above-mentioned purposes, we may share your personal information with our group companies as follows, after taking appropriate safety control measures.

1. Items of personal information to be jointly used

• Name and address
• Telephone number and fax number
• Your occupation and place of employment
• Email address
• Transaction Information
• Company name
• Location
• Other information acquired within the scope necessary for business execution to ensure the proper operation of business operations
   

2. Scope of parties using information jointly
Subsidiaries and affiliates of New York Life Insurance Company in the United States (hereinafter referred to as "NYLIM Group Companies").
For example, the following companies are "NYLIM Group Companies".

• Ausbil Investment Management Limited
• Candriam SCA
• Candriam Switzerland LLC
• NYL Investments Europe Limited
• MacKay Shields LLC
• MacKay Shields UK LLP
• New York Life Insurance Company
• New York Life Investment Management LLC
• New York Life Investment Management Holding LLC
• NYL Investors (U.K.) Ltd.
• NYL Investors LLC
• Tristan Capital Partners LLC
• Apogem Capital LLC
• Kartesia Management S.à.rl
• NYLIFE Distributors LLC
• NYLIFE Securities LLC
   

3. Purpose of Use of Joint Users

• To cooperate with the group to provide comprehensive financial services
• For risk management, business management, and management of the Group
   

4. Person responsible for managing shared personal data New York Life Investment Management Asia Limited

We will not use information about race, creed, family origin, place of origin, health insurance or criminal history, or other special non-public information for any purpose other than the proper operation of our business or other purposes deemed necessary, nor will we provide it to any third party.

Regarding requests for disclosure, correction, etc. of retained personal data

When a customer requests disclosure, correction, etc. of personal data held by our company, we will accept the request after verifying the customer's identity and following the procedures specified by our company.

1. Contact point
   Please contact your person in charge at our company or our Compliance Department.
2. How to request
   Please fill in and stamp the "Personal Information Disclosure, Correction, etc. Request Form" and submit it to us.
3. Identity Verification
   We may ask you to submit identity verification documents along with the "Request for Disclosure, Correction, etc. of Personal Information."
4. Fees for claims
   We may charge actual costs depending on the content of your claim.
5. Identification of the retained personal data you are requesting
   Please specify the specific details of your request (relevant items, reason for request, timing, period, etc.) on the "Personal Information Disclosure/Correction, etc. Request Form."
6. Our response to your request
   We will respond in writing as soon as possible after receiving your "Request for Disclosure, Correction, etc. of Personal Information" and confirming payment of the fee (only in cases where we request a fee). Please note that we will send the response by mail to the address you provided. 
    

Main sources of personal information and main outsourced operations

1. Main sources of personal information
   The sources of personal information acquired by our company include, for example, the following:
    

• Information that you fill out directly in questionnaires or other responses we conduct
• Information found in commercially available publications such as the Company Quarterly Report and the Executive Quarterly Report, as well as information published in newspapers and on the Internet
• Information collected from customers through the provision of products and services
   

2. Main operations outsourced
We outsource some of our operations. In addition, the following are examples of operations for which we have outsourced companies handle personal information:

• Printing or shipping documents to be sent to customers
• Operations and maintenance of information systems
• Providing professional advice on legal, accounting, etc.

 

Solicitation Policy

New York Life Investment Management Asia Limited

New York Life Investment Management Asia Limited (hereinafter referred to as "the Company") has established the following solicitation policy in accordance with the Act on the Provision of Financial Services and the Improvement of the Environment for Their Use.

1. Matters to be considered in light of the knowledge, experience, and financial situation of the person being solicited, and the purpose of entering into a contract for the sale of the financial product in question

• We will endeavor to solicit investments that are in line with our customers' intentions and circumstances after fully understanding their knowledge, experience, financial situation and investment objectives.
• We will endeavor to provide appropriate explanations of investment targets, details of investment products, and associated risks, etc., in light of our customers' knowledge, experience, financial situation and investment objectives.

2. Matters to be considered with respect to the method and time of solicitation

• When making solicitations, we will not only comply with laws, regulations and rules, but also strive to make solicitations based on reasonable grounds.
• When soliciting through advertising, promotion, seminars or other means, we will endeavor to ensure that solicitation materials are displayed appropriately.
• We will not make solicitations by telephone or in person at times that would be inconvenient to customers. We will endeavor to make solicitations in person only after making an appointment in advance.

3. Other matters concerning ensuring the appropriateness of solicitations

• Our employees are constantly striving to acquire and improve their knowledge and skills so as not to disappoint our customers' trust and expectations.
• We strive to provide appropriate information to customers so that they can conduct transactions at their own discretion and responsibility.
• We comply with laws and regulations such as the Financial Instruments and Exchange Act, as well as the rules and regulations of the Japan Investment Advisers Association and the Type II Financial Instruments Firms Association, and are working to strengthen our internal control system to ensure that appropriate solicitation is carried out.
• If you have any concerns about our solicitation methods, please contact our Compliance Officer. Phone: 03-6550-9921 (main line)

 

Basic Policy on Antisocial Forces

June 25, 2018
New York Life Investment Management Asia Limited

New York Life Investment Management Asia Limited declares the following basic policy to prevent damage caused by anti-social forces, which are groups or individuals that pursue economic gain through violence, intimidation and fraudulent tactics.

1. We will take measures against antisocial forces as an organization and ensure the safety of employees who deal with antisocial forces.
2. We will build close relationships with external specialist organizations, such as the police, the Anti-Violence Movement Promotion Center, and lawyers.
3. We will cut off all ties, including business relationships, with antisocial forces and will reject any unjust demands made by antisocial forces.
4. We will take legal measures, both civil and criminal, against unjust demands made by anti-social forces.
5. We will never engage in backroom deals or provide funds to antisocial forces.

 

Handling Complaints and Disputes

New York Life Investment Management Asia Limited (hereinafter referred to as "the Company") has established "Complaint and Dispute Handling Regulations" and strives to respond sincerely and promptly to complaints and other complaints from customers.

1. For complaints regarding our investment management business, investment advisory and agency business, or Type II Financial Instruments Business, please contact us at the details below.
New York Life Investment Management Asia Limited
Compliance Department
Address: 9F Otemachi Building, 1-6-1 Otemachi, Chiyoda-ku, Tokyo 100-0004 Japan
Telephone: 03-6550-9921

2. We aim to resolve complaints and disputes through the use of the Financial Instruments Mediation Assistance Center (FINMAC), a non-profit organization entrusted with the task of resolving complaints and disputes by the Japan Investment Advisers Association and the Type II Financial Instruments Firms Association, of which we are a member.
If you would like to use this organization, please contact the following:

NPO Financial Instruments Mediation Assistance Center (FINMAC)
Address: 2-1-1 Nihonbashi Kayabacho, Chuo-ku, Tokyo 103-0025
Phone: 0120-64-5005 (toll-free)
(Monday to Friday 9:00-17:00 excluding public holidays and the New Year holidays)