Policy for Conflicts of Interest Management
Chapter 1 Conflicts of Interest
1. Conflicts of Interest
Chapter 2 Conflicts of Interest Management based on Banking Act, Financial Instruments and Exchange Act, and Others
1. Identifying Transactions with Potential Risk of Adverse Effects from Conflicts of Interest
- Situations where a client reasonably expects MUFG Group to prioritize the client's best interest (e.g. advisory service)
- Situations where MUFG Group could inappropriately benefit in the market using information obtained from transactions with clients
- Situations where high reputation risk resulting from transactions between MUFG Group and clients could arise
- M&A advisory
- Securitization of Assets/Receivables
- Loan Syndication
- Principal Investment
- Equity and Debt Underwriting
- Bond Management
2. Companies with Requirement for Conflicts of Interest Management
Examples of companies with requirement for conflicts of interest management include:
- MUFG Bank, Ltd.
- Mitsubishi UFJ Trust and Banking Corporation
- Mitsubishi UFJ Morgan Stanley Securities Co., Ltd.
- au Kabucom Securities Co., Ltd.
- The Chukyo Bank, Ltd.
3. Management System for Conflicts of Interest
MUFG Group shall comply with applicable laws and regulations related to conflicts of interest and maintain appropriate management for conflicts of interest.
4. Measures for Management of Conflicts of Interest
- Separating a division/company conducting a transaction with potential risk of adverse effects by conflicts of interest from other divisions/companies
- Changing the conditions/methods of either/both transactions with potential risk of adverse effects by conflicts of interest
- Terminating either one of transactions with potential risk of adverse effects by conflicts of interest
- Notifying clients of potential risk of adverse effects by conflicts of interest
Chapter 3 Conflicts of Interest Management based on MUFG Basic Policy for Fiduciary Duties
- Selection of products that contribute to customers' asset building and provision of sales procedures
- Ensuring independence and transparency of investment management
MUFG Bank, Ltd., Mitsubishi UFJ Trust and Banking Corporation, Mitsubishi UFJ Morgan Stanley Securities Co., Ltd., Mitsubishi UFJ Morgan Stanley PB Securities Co., Ltd., au Kabucom Securities Co., Ltd., Mitsubishi UFJ Kokusai Asset Management Co., Ltd., The Master Trust Bank of Japan, Ltd., and MU Investments Co., Ltd.