Concerning Complaints Desk

About the Handling of Complaints at Tosei Asset Advisors

Tosei Asset Advisors (“TAA”) has established Complaint Handling Policies. Upon any complaint being filed, TAA handles it promptly with care to settle the matter. For queries or complaints regarding transactions with TAA, please refer to the contact information below.

1.TAA contact information and complaint resolution process

(1)Contact information

(2)Complaint resolution process

  1. A customer files a complaint.
  2. The person involved at TAA is interviewed, and a possible solution is considered
  3. The solution is proposed, and the matter is resolved

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

(1)Contact information

(2)Complaint resolution process

FINMAC’s standard complaint resolution process is outlined below. Please get in touch with FINMAC for details.

  1. Filing of a complaint by a customer
  2. Forwarding of objection to a member (TAA)
  3. Discussion and resolution of matter between customer and member (TAA)

3.Dispute resolution through external organization and mediation process

TAA resolves disputes through mediation carried out by FINMAC. FINMAC is engaged to perform mediation services by Type II Financial Instruments Firms Association, the Japan Investment Advisers Association, and The Investment Trusts Association, Japan (Tosei Asset Advisors is a member of all) with the process being carried out by an arbitrator. If you wish to use FINMAC to settle a dispute with TAA, you may request their services at the above number. FINMAC’s standard mediation process is outlined below. Please get in touch with FINMAC for details.

  1. Submission of mediation application in writing by the customer
  2. Receipt of mediation application and appointment of an arbitrator
  3. Payment of mediation application fee by the customer
  4. Interview of customer and member (TAA) by the arbitrator
  5. Presentation and acceptance of settlement proposal