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Solicitation Policy Regarding Financial Instruments Transaction

Basic Policy for Solicitation
  • ​We endeavor to give appropriate solicitation best suited to each individual customer based on the customer’s investment intentions; considering our understanding of the customer's knowledge, experience, financial capacity and objective in entering into a financial instruments transaction.

  • We will provide adequate information on the financial instruments, including its features and associated risks that may affect customers to make their own judgments, such as restriction on resale and cancellation etc.

  • We endeavor to explain important matters of transactions such as sales and purchase of securities so that customers can fully understand the transaction.

  • We endeavor to provide proper and adequate information on the financial instruments, including the schemes and associated risks that are necessary for customers to make their own judgments and take responsibility for their transactions entrusted to us.

  • We will provide proper information such as whether or not there are regulations on information disclosure based on Financial Instruments Exchange and Act and its details.
 
Procedure of Solicitation
  • In soliciting customers for our financial instruments, we endeavor to provide adequate information complying with Financial Instruments and Exchange Act, and relevant laws and regulations.

  • In soliciting customers by phone, fax, or email, we make careful considerations of the time, venue, and process of solicitation to avoid troubling customers.
 
 
Other Policy
  • To meet customers’ expectations and trust, we endeavor to strengthen our internal management systems and knowledge acquirement and quality enhancement of our employees. 

  • We exercise appropriate compliance trainings to our executives and employees to ensure appropriate solicitation. If you have any thoughts on solicitation procedures and transactions, please contact our Legal and Compliance department (03-5210-8322).

 
Financial Instruments Business Operator
Jones Lang LaSalle K.K.
 
 
March 2013​