Solicitation Policy

Solicitation Policy in accordance with the Law on Sales of Financial Products in Japan.

1. Matters to be considered in respect to knowledge, experience and property of customers subject to solicitation and in respect to the purpose of contracts

We shall strive to conduct solicitation of products that meet the business objectives of clients by fully recording their name, address, knowledge, investment experience, condition of property, the purpose of the contracts as well as other information.
We shall recommend products that are suitable to each customer after recording their name, address, knowledge, investment experience, condition of property, purpose of contracts and as well as other information and strive to appropriately explain details of products alongside explanations of the risks involved, etc.

When conducting solicitations, we shall place the greatest priority on securing customer trust and engage in customer-centered investment solicitation in compliance with the Financial Instruments and Exchange Act as well as other applicable laws and regulations.
We shall not only observe laws and regulations, but also shall strive to conduct solicitation based on rational grounds.
In order to avoid subjecting the customer to inconvenience, we shall pay due attention to the hours, places and methods used with regard to solicitation and consultation that may be conducted by means of direct visits, by phone, by fax, e-mail or by other means.

We have been striving to develop our internal system and encourage our officers and employees to acquire knowledge and polish their skills so that they may maintain customer trust.
We have been striving to enhance the internal management system and provide employees with appropriate training so as to observe the Financial Instruments and Exchange Act and other relevant laws and so that we may conduct appropriate solicitation.

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