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Solicitation Policy

コンテンツ

The company hereby sets forth its policies concerning soliciting activities in accordance with Article 9 (formulation of solicitation policy) of the Law concerning the Sale of Financial Products as follows.

  1. Matters to be considered in relation to the solicited customer’s knowledge, experience, financial conditions and purpose in executing the agreement regarding the sale of the financial products

    The company will endeavor to make a solicitation that conforms with the customer's intentions and circumstances by taking into account the customer's knowledge, investment experience, investment purposes, financial conditions, risk appetite, and other related matters.

  2. Matters to be considered in relation to solicitation method and time for the solicited customers

    The company will endeavor to solicit at an appropriate time and place. The company will endeavor to provide accurate information relating to financial products, and pay sufficient attention and consideration to presentation methods.

  3. Other matters regarding ensuring appropriateness of solicitations

    The company will endeavor to organize and enhance its internal management systems in order to ensure appropriate solicitations in compliance with the Financial Instruments and Exchange Law of Japan and other laws and regulations.

    The company will endeavor to deal with customer enquiries swiftly and appropriately.

    In order to make appropriate solicitations, the company will provide internal education and training to its officers and employees. The officers and employees of the company will endeavor to constantly improve their knowledge and skills.