Concerning Complaints Desk

About the Handling of Complaints at Tosei Asset Advisors

Tosei Asset Advisors has established Complaint Handling Regulations to be used as internal standards, and when a customer or other party files a complaint, we make it a priority to satisfy them by addressing the matter sincerely and promptly.
If you wish to make a complaint regarding a transaction with Tosei Asset Advisors, please refer to the contact information below.

1. Tosei Asset Advisors contact information and complaint resolution process

  • Contact information

    • Tel.
      +81-3(3436)2058 (Risk Compliance Office)
    • Hours
      Monday – Friday, 9 a.m. – 6 p.m. (except national holidays)
  • Complaint resolution process

    • Complaint is received from customer
    • The person responsible at Tosei Asset Advisors is questioned and a solution is considered
    • A solution is proposed and the matter is resolved

2. Complaint resolution process when resolving complaints through an external organization

  • Contact information

    • Organization name
      Financial Instruments Mediation Assistance Center (FINMAC)
    • Tel.
      0120-64-5005 (toll-free only in Japan; hours: Monday – Friday, 9 a.m. – 5 p.m., except national holidays)
  • Complaint resolution process

    FINMAC’s standard complaint resolution process is outlined below. Please contact them for details.

    • Filing of complaint by customer
    • Forwarding of complaint to member business (Tosei Advisors Association)
    • Discussion and resolution of matter between customer and member business (Tosei Advisors Association)

3. Resolution of disputes through an external organization and mediation process

Tosei Asset Advisors seeks to resolve disputes through mediation carried out by the Financial Instruments Mediation Assistance Center mentioned above. FINMAC is mandated to perform mediation services by the Japan Investment Advisors Association, of which we are a member, with the process being carried out by an arbitrator. If you wish to use FINMAC to settle a dispute with Tosei Asset Advisors, you may request their services at the above number. FINMAC’s standard mediation process is outlined below. Please contact them for details.

  • Submission of written mediation application by customer
  • Receipt of mediation application and selection of arbitrator
  • Payment of mediation application fee by customer
  • Questioning of customer and member business (Tosei Asset Advisors) by arbitrator
  • Presentation and acceptance of settlement proposal