Notice Concerning the Exchange of Financial Products

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Important Notice Concerning the Exchange of Financial Products

Our Policy of Solicitation Regarding Sale of Financial Products

We establish and disclose our solicitation policy regarding the sale and other handling of financial products in accordance with Article 9 of the Act on Sales of Financial Products as follows.

Our Basic Position on Solicitation

When recommending products, we strive to provide our clients with appropriate explanations of product details, potential risks, and other information, bearing in mind our clients’ knowledge, experience, and resources.

Solicitation Methods and Hours, etc.

To ensure that our clients can conduct transactions based on their own judgment and responsibility, we strive to have our clients fully comprehend important information such as product details and potential risks through delivery of written documents and other appropriate methods. We will not present our clients with conclusive statements or false information or otherwise take part in solicitation activities that would mislead our clients.

Protecting our clients’ trust in us is our priority when recommending products. We will comply with all applicable ordinances and laws and conduct investment solicitation activities with our clients’ interests first.

We endeavor to avoid solicitation activities by phone or visits during hours that would be inconvenient for our clients. Should any of our solicitation activities be an inconvenience, our clients are kindly requested to inform the staff in charge.

Other Matters of Concern

We endeavor to strengthen in-house management structures to ensure appropriate solicitation activities for our clients.

To ensure that our solicitation activities are appropriate for our clients, we are committed to solidifying employee training and acquiring product knowledge.

Should you have any complaints or requests, clients are kindly requested to contact the Corporate Planning Department (tel: +81-3-3548-3351).

Complaint Handling and Dispute Settlement

  1. The Company endeavors to respond to complaints and claims lodged by customers and other parties quickly and sincerely, seeking to earn customer understanding with the establishment of the Complaint Handling Regulations.
  2. In addition to endeavoring to settle complaints and disputes in the manner described in 1, the Company also seeks to settle complaints and disputes related to its investment management business and its investment advisory and agency business by using the organization stated in 4. Providing mediation for the settlement of complaints and disputes on behalf of the Japan Investment Advisers Association, and the Investment Trusts Association, of which the Company is a member, this organization accepts complaints from customers and its commissioners facilitate mediation procedures. If you elect to use this organization, please find the contact details in 4.
  3. In addition to taking steps to settle complaints and disputes in the manner described in 1, the Company also strives to settle complaints and disputes related to its Type II financial instruments business conducted by the Company by using the organization stated in 4. Providing mediation for the settlement of complaints and disputes related to the Type II financial instruments business, this organization accepts complaints from customers and its commissioners facilitate mediation procedures. If you elect to use this organization, please find the contact details in 4.
  4. Name and contact information of the organization
    Financial Instruments Mediation Assistance Center
    Address: 1-13, Nihonbashi Kayabacho 2-chome, Chuo-ku, Tokyo 103-0025
    Tel: 0120-64-5005 (toll free)
    (Mon. - Fri. / 9:00 - 17:00 excluding holidays, etc.)

Registration as Financial Imstruments Business Operator and Other Items

  1. Registration as Financial Product Business Operator
    Tokyo Tatemono Investment Advisors Co., Ltd., Director General of Kanto Local Finance Bureau (Kinsho) No. 1845
  2. We conduct investment management business, investment advisory, and agency business, and Type II Financial Instruments business.
  3. Compensation such as the fees that the clients pay our company under the financial product transaction contract will be decided in a council, keeping the specific product, contract structure, and other details in consideration.
  4. The securities, etc. that we handle (real estate trust beneficial rights, anonymous association equity interests and others) may incur losses as a result of fluctuations in prices, leasing performance, and other variables of the property in which we invest. Neither the principal investment nor investment return is guaranteed. The client shall bear the risk that the invested securities may fall below their value at the time of purchase.
  5. Although we endeavor to ensure that our clients fully comprehend the content of all pre-contract documents delivered to clients ahead of time, we kindly ask our clients to thoroughly review the documents before you sign a financial product transaction contract with our company.

Notice Regarding the Application “Deadline” for the Professional Investor Status under the Financial Instruments and Exchange Law

The application “Deadline”* to change investor status to Professional Investor under the Financial Instruments and Exchange Law at our company is as follows:

March 31 every year

*The last day of validity of the status as “Professional Investor” for clients who were formerly “Investors Other Than Professional Investors.”

Under the Financial Instruments and Exchange Law, clients are classified into two investor categories—“Professional Investor” and “Investor Other Than Professional Investor” (referred to as “General Investor” hereafter)—according to the type of contract. After the client undergoes the prescribed application process and is approved by our company, the client may be authorized to shift statuses from either “Professional Investor” to “General Investor” or from “General Investor” to “Professional Investor”.

When a client has shifted status from “General Investor” to “Professional Investor,” the final day of the validity of status will be the next coming “Deadline”. Should clients wish to prolong their status as “Professional Investor,” we kindly ask clients to apply for status renewal. If we do not receive an application of renewal by the “Deadline,” your status will return to that of “General Investor.”

In transactions between a financial instruments business operator and a “Professional Investor” client, the financial instruments business operator is exempted from a part of the restrictions and regulations such as the restriction of advertisement, the obligation of delivering documents in advance, and other obligations.