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We will announce on our website our policy for realizing customer-oriented business operations and periodically announce the status of our efforts related to the policy.*

Moreover, we will review the policy periodically to further improve our business operations.

*Clients include not only special purpose companies and investment corporations entrusted with investment management and investment advisory and agency services but also investors and unitholders as the ultimate beneficiaries.

  1. Pursuit of customers' best interests When dealing with our clients, we recognize that providing high-quality, client-oriented services and acting in their best interest will contribute to the development of our company. As such, we will conduct ourselves in a professional and ethical manner and conduct our business with integrity and fairness. We will also strive to ensure that these business operations become interwoven into our corporate culture.

  2. Appropriate management of conflicts of interest In accordance with the Rules on Related-Party Transactions, we will identify potential conflicts of interest with our clients in transactions and appropriately manage such potential conflicts, if any exist. The Rules on Related-Party Transactions clearly define the scope of related parties and stipulate that transactions which may cause conflicts of interest, such as acquisition of properties from and consignment of property management services to related parties, must in principle be discussed in advance by the Compliance Committee, which includes experts from outside the company.

  3. Clarification of fees, etc. We will provide customers with information detailing the fees and other costs that may be incurred so that customers understand what services are being charged. This includes the type of service for which the fee is being assessed.

  4. Provide important information in an easy-to-understand manner We will provide vital information on schemes, returns, risks, terms and conditions of transactions, and investment conditions relating to the financial instruments and services we offer in a manner that is easy for our clients to understand.
    *At present, we do not sell or recommend multiple financial instruments or services as a package.

  5. Provide the level of service our clients deserve We will provide financial instruments and services suitable for our clients based on our understanding of their asset situation, trading experience, knowledge, and trading objectives and needs.
    *At present, we do not sell or recommend multiple financial instruments or services as a package nor do we sell or recommend particularly complex or high-risk financial instruments or sell or recommend financial instruments to groups of people who are vulnerable to damage from financial transactions.

  6. Appropriate motivational framework for employees, etc. We will regularly and continuously provide training to our employees to promote actions in our customers’ best interests, fair treatment, and appropriate management of conflicts of interest.
    Moreover, through internal audits and other means, we verify that employees are acting appropriately in accordance with our policy on customer-oriented business operations, and we implement these operations through a personnel evaluation system and PDCA (plan-do-check-act) cycle to ensure employees are sufficiently motivated.

Revised on July 1, 2022