Solicitation Policy

In compliance with the Act on Provision of Financial Services, the Financial Instruments and Exchange Act, and other applicable laws and regulations, Tosei Asset Advisors (“TAA”) handles solicitation of customers for financial instruments appropriately, based on the following policy:

  1. TAA conducts appropriate solicitation and provides advice tailored to customers’ intentions and actual circumstances by correctly ascertaining situations such as level of knowledge regarding financial instruments, investment experience, investment goals, and the status of owned assets.
  2. TAA helps customers accurately understand vital terms relating to the Act on Provision of Financial Services and thoroughly explains the nature and risks of the instruments TAA offers to ensure that customers make appropriate investment decisions.
  3. TAA provides accurate information to avoid misleading customers.
  4. TAA responds to inquiries from customers timely and establishes an appropriate internal system
  5. TAA carefully considers avoiding customer inconvenience when deciding our solicitation and advisory activities’ operating hours, locations, and methods.
  6. To conduct appropriate solicitation and provide helpful advice, TAA carries out comprehensive internal training activities