Solicitation Policy

1. We may post information on financial products on our website, etc. or provide explanations about financial products at seminars and on other occasions, or when clients have provided us with a request for such information (hereinafter collectively referred to as "Information and Explanations on Financial Products"). However, unlike face-to-face sales, the guidance we offer does not constitute a personal recommendation for any specific investor to buy or sell particular securities. Information and Explanations on Financial Products we provide do not constitute recommendations for the purchase of financial products, unless such information and explanations are being provided to specific investors, such as qualified institutional investors.
2. We will provide our clients with appropriate Information and Explanations on Financial Products, taking into account their knowledge and experience of financial products, asset status, and investment purposes.
3. We will provide Information and Explanations on Financial Products that enable clients to fully understand vital information, such as the features and risks associated with the financial products, so that they can make informed and responsible decisions with respect to their transactions.
4. We will place top priority on maintaining the trust of our clients and complying with all laws, regulations, and rules. We will not provide information or explanations about financial products that could serve to mislead clients by making a conclusive assessment of something that is uncertain or by providing information that is not true.
5. No matter the time of day, we will never make any sales calls or visits to individual clients for the purpose of soliciting our products. We will not call clients at inconvenient hours, except in cases of emergency. If you do not wish to receive Information and Explanations on Financial Products, please contact us at the number below.
6. We provide sufficient training to our officers as well as general employees while continuously striving to acquire new knowledge and skills which we build. We do this with an eye to providing our clients with appropriate Information and Explanations on Financial Products.
7. We will endeavor to strengthen and improve our internal control system to ensure that we comply with laws and regulations and provide appropriate Information and Explanations on Financial Products.
8. We provide our officers and general employees with sufficient internal training to prevent them from providing inappropriate Information and Explanations on Financial Products. If you have any questions or comments, please contact us at the number below.

Complaint Handling and Dispute Resolution

1. We will respond to complaints from clients and other parties in a fair and timely manner and do our best to resolve them. To file a complaint, please contact us at the number below.

2. In addition to the above, we will seek to resolve complaints through the Financial Instruments Mediation Assistance Center (FINMAC) and resolve disputes through mediation by FINMAC. FINMAC is a nonprofit organization that is entrusted by the Investment Trusts Association, Japan and the Japan Investment Advisors Association to provide complaint resolution and mediation services.
   If you wish to use its services, please contact the number below.