Solicitation Policy

In compliance with financial laws and regulations, Tosei Asset Advisors (“TAA”) appropriately handles the solicitation of financial instruments to customers, 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 their level of knowledge regarding financial instruments, investment experience, investment goals, and the status of owned assets
  2. TAA helps customers accurately understand vital information about financial instruments 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 customer inquiries in a timely and appropriate manner and establishes an internal system to ensure proper responses.
  5. TAA carefully considers the timing, location, and methods of solicitation and advisory activities to avoid inconveniencing its customers.
  6. To conduct appropriate solicitation and provide helpful advice, TAA carries out comprehensive internal training activities.