The Firm makes public our Solicitation Policy in accordance with the article No. 9 of "the law concerning sales of financial products". To compliance with laws and regulations is the root of the ideology of the Firm management and sales activities and this policy is a part of the basic policies of the Firm Management established based on the philosophy.
Securities investment is executed based upon customer's own judgment, responsibilities and instruction.
The Firm, 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
- 1.The Firm 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 Firm endeavors to provide the customer with an explanation of the details of products.
- 3.The Firm 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 Firm 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 Firm 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 Firm endeavors to listen to customer's opinion / advice on transactions.