Shirion Partners Co., Ltd. (hereinafter called “Company”) establishes the following policy for its solicitation to its customers (hereinafter called “Customer” or “Customers”), complying with the “Financial Instruments and Exchange Act” of Japan and any other relevant laws, regulations and rules, etc., on sale, etc. of financial instruments and conducts appropriate solicitation activities.
Matters to be considered in light of the knowledge, experience and condition of properties of the persons subject to solicitation
▪ Company creates and keeps a “Customer Card” for each Customer where the information such as the name, address, investment purposes, condition of properties, and presence or absence of experiences on investment in securities, etc. of such Customer is specified, and strives to conduct investment solicitation suited to the intention and actual condition of such Customer, after fully considering his/her investment purposes, investment experiences and financial resources, etc.
▪ In conducting any investment solicitation to Customers, Company strives to properly explain the content or risks, etc. of the products in light of their knowledge or investment experiences, etc.
Matters to be considered for the persons subject to solicitation in relation to methods and time of solicitation
▪ In conducting any investment solicitation to Customers, Company strives to conduct customer-oriented investment solicitation, by always putting the securement of trust of Customers first and complying with applicable laws, regulations and rules.
▪ Company does not conduct any solicitation by phone or visit during a period of time when such solicitation may cause any trouble or inconvenience to Customers. In the case of any trouble or inconvenience caused by the solicitation, please notify the contact personnel of Company of such trouble or inconvenience.
▪ Company strives to appropriately provide information which may enable Customers to conduct transactions at their own discretion and under their own responsibility.
▪ With respect to any document or material, etc. delivered by Company to Customers in conducting the solicitation, as well as any representation or indication, etc. on its website, Company strives to display it in an appropriate manner, after its administrative department confirms the content of such representation or indication, etc. to prevent any wrong representation or indication, etc. from misleading Customers.
Other matters relating to the securement of appropriateness of solicitation
▪ Any and all officers of Company strives to always acquire necessary knowledge or skills and make self-improvement, in order not to betray the trust and expectation of Customers due to any inappropriate solicitation.
▪ Company strives to enhance its internal management system for appropriate solicitation activities, complying with the “Financial Instruments and Exchange Act” and relevant laws and regulations.
▪ With regard to any question or opinion on the solicitation methods of Company or the transactions of Customer,, etc., please feel free to contact Company (phone number: +81-3-5577-4720).
Shirion Partners Co., Ltd.