Measures for processing complaints/resolving disputes
Measures for processing complaints/resolving disputes
For each category of business for which we are registered to operate in, we have set the following as the measures for processing complaints and resolving disputes as stipulated in the Financial Instruments and Exchange Act.
Investment Advisory and Agency
We will process complaints and resolve disputes through complaint resolution or mediation services provided by the Japan Securities Investment Advisers Association under the provisions of the Financial Instruments and Exchange Act.
Type II Financial Instruments Business
We will process complaints and resolve disputes through complaint resolution or mediation services provided by the Financial Instruments Mediation Assistance Center (FINMAC) under the provisions of the Financial Instruments and Exchange Act.
The Japan Securities Investment Advisers Association outsources its service for processing investors’ complaints and mediation effort in case of dispute related to financial product transactions by its members to the Financial Instruments Mediation Assistance Center (FINMAC). Thus, the information below of FINMAC will be the contact for both items 1 and 2 above.
Financial Instruments Mediation Assistance Center (FINMAC)
Telephone: 0120-64-5005 (toll free nationwide)
Hours of operation: Monday through Friday, 9:00am - 5:00pm
(except for national holidays including substitute holidays, and December 31 to January
