Solicitation Policy
Based on the Act on Sales, etc. of Financial Products (Act No.101 of 2000) including all the subsequent revisions thereof (hereinafter referred to as the “Financial Instruments and Exchange Act”), we have established our solicitation policy for financial products as below in order to ensure appropriate sales activities to our customers.
Matters to be considered in light of knowledge, experience, asset, and purpose of executing contracts of people subject to solicitation
We will understand our customers’ level of knowledge, experience on asset management, asset situation and purpose of executing contracts involving sale of financial products, and provide our customers with appropriate advice and explanations on contracts, etc. involving sales of financial products.
We will provide adequate and appropriate explanations on important matters including the contents of products and entailing risks so that our customers can make appropriate investment decisions for themselves.
Matters to be considered for people subject to solicitation in connection with the solicitation policy and the time of day for solicitatio
We will comply with the Financial Instruments and Exchange Act and other applicable laws, ordinances and guidelines (hereinafter referred to as the “laws and regulations”) so as to ensure appropriateness of the solicitation activities.
In addition to complying with the laws and regulations, we will engage in solicitation activities based only on reasonable grounds.
We will take great care not to engage in solicitation activities at such a time of day, in such a place or in such a manner as to inconvenience our customers.
Other matters concerning assurance of appropriate solicitation
We will observe the laws and regulations and strengthen the internal control system in order to ensure appropriate solicitation activities toward our customers.
Our officers and employees will always try to obtain and cultivate their knowledge and skills so that they can satisfy our customers’ expectations.
We will respond in good faith to our customers’ complaints and requests.
