Solicitation Policy concerning Sale of Financial Instruments

We will seek to ensure that the solicitation activities of financial instruments be conducted in compliance with the following policy as well as any related laws and regulations including the Financial Instruments and Exchange Act and the Act on Sale of Financial Instruments.

  1. The Company will, after taking into consideration each customer’s knowledge of financial instruments, investment experience, investment objectives and asset status, seek to ensure that it recommend the suitable financial instruments to the customer.
     
  2. The Company will endeavor to provide the customer with adequate and appropriate information and explanations to ensure that the customer fully understands the product’s scheme and associated risks, etc., so as to enable the customer to transact based on his/her own decision and responsibility.
     
  3. The Company will not solicit financial instruments in a manner which may mislead the customer by offering the customer subjective, arbitrary or inaccurate information.
     
  4. The Company will not solicit during hours or at places where the customer feels are inappropriate.
     
  5. In order to ensure that an appropriate investment solicitation is provided in a manner which conforms to this solicitation policy, the Company will endeavor to improve and conduct internal training and internal education to its staff.


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