- PRINCIPLE 4Transparency of Fees and Charges
- Our company provides clear information to our customers regarding the details of fees and other expenses they bear, including the nature of the services for which those fees and charges are applicable. We ensure that our customers can easily understand this information.
- PRINCIPLE 5Clear Provision of Important Information
- In order to ensure transparency to our customers, our company adheres to the regulations established by the Financial Instruments and Exchange Act, Investment Trusts and Investment Trusts Association, Investment Adviser Association, and Type II Financial Instruments Dealers Association. We provide information disclosures in accordance with these regulations. Additionally, we strive to promptly and clearly provide our customers with information that is necessary and appropriate for their investment
- PRINCIPLE 6Provision of Appropriate Services to Customers
- Our company strives to provide appropriate solicitation and advice based on our customers’ financial product knowledge, investment experience, investment objectives, needs, and the status of their assets, fully understanding their preferences and circumstances.
- PRINCIPLE 7Framework for Appropriate Motivation of Employees
- We expect our employees to strive for fair treatment of customers and appropriate management of
conflicts of interest as actions to pursue the best interests of our customers. To achieve this, we provide
internal compliance training for all employees and encourage participation in external compliance training,
aiming to foster and improve compliance awareness. We also consider compliance awareness and practices
as one of the indicators for evaluating employee performance.
Enacted on March 18, 2019