The Act on Sales, etc. of Financial Products (the “Act”), the law enacted to ensure protection of customers by establishing measures for financial institutions to secure the appropriateness of solicitations, became in effect on April 1st, 2001. In compliance with Article 9 of the Act, Aizawa Asset Management (the “Company”) here by establishes the following policy.
When soliciting financial products to customers, the Company will comply with laws, regulations, and the policies set forth below.
- 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 by providing definitive prediction and providing untrue information.
- Solicitations by phone or visit will be conducted on hours convenient for customers and will not be conducted on unwanted hours.
- 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.
- The Company endeavors to appropriately respond to customer inquiries in regards to sales and solicitations.