In compliance with the Act on Sales of Financial Products, the Financial Instruments and Exchange Act, and other applicable laws and regulations, Tosei Asset Advisors handles solicitation of customers for financial instruments in an appropriate manner, based on the following policy:
- We will strive to conduct appropriate solicitation and provide advice suited to the intentions and actual circumstances of customers by properly ascertaining information such as level of knowledge regarding financial instruments, investment experience, investment goals, and the status of owned assets.
- We will strive to provide customers with an accurate understanding of key matters relating to the Act on Sales of Financial Products and thoroughly explain the nature and risks of the instruments we offer in order to ensure that customers make appropriate investment decisions.
- We will strive to provide accurate information to avoid misleading customers.
- We will strive to provide timely and accurate responses to inquiries from customers and establish an appropriate internal system for the purpose of rapidly addressing inquiries.
- We will give careful consideration to customer convenience when deciding the operating hours, locations, and methods of our solicitation and advisory activities.
- In order to conduct appropriate solicitation and provide suitable advice, we will carry out comprehensive internal education and training activities