＜Principle.1＞
Establishing and Announcing Policies for Customer-Oriented Business Conduct
The company adopts “Principles for Customer-Oriented Business Conduct” published by Financial Services Agency of Japan and we hereby announce our policies as below. We endeavor to review our policy in a timely manner to improve our business practice.
＜Principle.2＞
Pursuit of the Customers’ Best Interests
The company acts sincerely and fairly, adhering to high standards of business ethics and professionalism and pursue the customers’ best interest. The company endeavor to build the corporate culture where our employees put the Customers’ Best Interests first.
＜Principle.3＞
Appropriate Management of Conflicts of Interests
The company completely identifies the conflicts of interests with customers and manages such conflicts appropriately in every case.
＜Principle.4＞
Clear Explanation of Fee Arrangements
The company tries to get the customers to understand what kind of the fees, commissions etc. they have to pays and what it is paid for.
＜Principle.5＞
Provision of Important Information in an Understandable Manner
The company carefully and understandably explains about the strategy, policy, return and risk characteristics etc. of our investment product invested in by the customers based on the customers’ profile and the product profile. The materials etc. provided by the company shall be written in a plain and clear style.
＜Principle.6＞
Providing Suitable Financial Products/ Services to Customers
The company perform the correct assessment of each customer’s knowledge, experience, financial situation, investment objectives and needs and provide the investment products/services to the customer which is suitable for them.
＜Principle.7＞
Appropriate Incentives Provided to Employees
The company develops a framework for appropriately motivating employees including conducting employee training to encourage our employees to take action for the pursuits of the customers’ best interests, fair dealing of the customers, appropriate management of conflicts of interests.