Solicitation Policy

SMBC Nikko Securities Inc. (the "Company" hereinafter) makes public our Solicitation Policy in accordance with the article No. 10 of "the Act on Provision of Financial Services". Compliance with laws and regulations is the philosophy that the Company places in the center of our sales activities, and this policy is a part of the basic policies of the Company established based on the philosophy.
Securities investment is executed based upon customer's own judgment, responsibilities and instruction.
The Company, in understanding that customer's trust is the greatest assets we can have, endeavors to provide customers with adequate information to enable customers to engage in transactions based upon their own responsibilities

Appropriate Solicitation

  • 1.The Company endeavors to solicit a customer for a product which is suitable to the customer, having an understanding the customer's knowledge, investment experience, investment purposes and financial capabilities.
  • 2.The Company endeavors to provide the customer with an explanation of the details of products.
  • 3.The Company does not solicit a customer making phone calls or visits during a time zone which is inconvenient to the customer.

Maintenance of Appropriateness of Solicitation

  • 1.The Company provides its officers and employees with sufficient internal training for the purpose of appropriate solicitation being made by them and they, themselves, always endeavor to acquire knowledge and study profoundly to maintain it.
  • 2.The Company endeavors to enforce its internal control structure in compliance with the Financial Instrument Exchange Act of Japan and other relevant laws and regulations.
  • 3.The Company endeavors to listen to customer's opinion / advice on transactions.