On November 1, 2021, the “Act on Sales etc. of Financial Products” was renamed to “Act Concerning Provision of Financial Services” (the “Act”). The Purpose of this Act is to provide customers with matters to be explained by financial instruments dealers, the liabilities of the by financial instruments dealers in the event that damages were suffered by customers due to failure to explain matters by financial instruments dealers and other matters concerning the sale of financial instruments by financial instruments dealers, thereby contributing to a sound and healthy development of the national economy.

Solicitation Policy

When soliciting financial products to customers, Aizawa Asset Management Co., Ltd. (the “Company”) will comply with laws, regulations, and the policies set forth below. 

  1. The Company endeavors to conduct solicitations of financial products that are appropriate to a client in view of customer’s knowledge, experience, financial status, and purpose of transaction. The Company endeavors achieve customer’s adequate understanding by clearly explaining important matters such as product specifications and associated risks of the products. The Company will not conduct inappropriate solicitations such as providing definitive prediction and providing untrue information. 

 

  1. Solicitations by phone or visit will be conducted during hours convenient for customers and will not be conducted during unwanted hours. 

 

 

  1. The Company endeavors to enhance the internal management system to secure the appropriateness of solicitations in compliance with Financial Instruments and Exchange Law, other relevant laws and regulations, and the self-regulatory rules of Japan Investment Advisers Association and Type II Financial Instruments Firms Association. 

 

  1. The Company endeavors to appropriately respond to customer inquiries regarding sales and solicitations.