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Points We Consider in Financial Instruments Transactions

In accordance with Article 9 of the Act on Sales, etc. of Financial Instruments, Tokyo Tatemono Co., Ltd. (hereafter, the "Company") stipulates its Solicitation Policy for Sales of Financial Instruments as follows.

Solicitation Policy for Sales of Financial Instruments

Basic Policy on Customer Solicitation

When recommending financial instruments to customers, the Company will strive to provide explanations that are appropriate for the customers' level of knowledge, experience, and asset conditions and for the objective of concluding an agreement concerning sales of financial instruments.

Methods and Hours, etc. of Customer Solicitation

  • The Company will strive to enable customers to understand important matters concerning financial instruments, such as their contents and the details of associated risks, by issuing documents or by any other appropriate means, so that customers can decide to undertake trades at their own responsibility and judgment. The Company will not mislead customers by making strong statements containing judgmental content or by providing inaccurate information.
  • When recommending financial instruments to customers, the Company will give top priority to securing the confidence of customers, observe laws, regulations, and other rules, and strive to solicit investment in a customer-oriented manner.
  • The Company will never solicit customers by calling or visiting them at times that are inconvenient for them.

Other

  • The Company will endeavor to enhance its internal management systems to ensure appropriate customer solicitation.
  • The Company will strive to obtain knowledge of the financial instruments it offers in its efforts to ensure appropriate customer solicitation.
  • The Company will respond appropriately to complaints and requests from customers.
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