Company Measures for Handling Complaints and Resolving Disputes

Handling of Complaints and Resolution of Disputes

If you have any requests or complaints about the financial instruments business of SRM, please submit an inquiry to the following departments.

  • For matters related to the investment advisory and agency business and the Type II Financial Instruments Business, the Fund Management Department No.1 (phone: 03-4346-0572) or the Fund Management Department No.2 (phone: 03-4346-0573).
  • For matters related to the investment management business (limited to the discretionary investment business), the Fund Management Department No.1 (phone: 03-4346-0572) or the Fund Management Department No.2 (phone: 03-4346-0573).
  • For matters related to the investment management business (limited to the asset management business of SC Realty Private REIT), the Private REIT Business Department (phone: 03-4346-0588) or the REIT Management Department (phone: 03-4346-0581).
  • For matters related to the investment management business (limited to the asset management business of SOSiLA Logistics REIT), the J-REIT Business Department (phone: 03-4346-0580) or the REIT Management Department (phone: 03-4346-0581).

SRM’s standard flow of response is as follows:

  • A complaint or another claim from the customer is received by SRM.
  • The person in charge confirms the facts and considers proposals to resolve the issue.
  • SRM presents the proposals.

Use of External Agencies to Handle Complaints and Resolve Disputes

In addition to the responses of SRM described above, we will also employ fair and neutral external agencies to resolve complaints and disputes related to the financial instruments business (alternative dispute resolution):

  • When a dispute arises that is unlikely to be solved between the customer and SRM, SRM will introduce the relevant external agency to the customer.
  • Customers are also free to use relevant external agencies other than SRM as a point of contact for making inquiries about complaints and disputes, etc. related to the financial instruments business of SRM.

Contact Information of External Agencies:

We have decided to resolve complaints and disputes related to the investment advisory and agency business, as well as the investment management business (limited to the discretionary investment business and the asset management business for investment corporations), through the Investment Management Association of Japan.

Complaints and disputes related to the Type II Financial Instruments Business shall be resolved through the organizations listed below.

As the Investment Management Association of Japan outsources complaint handling and dispute resolution operations to the organizations listed below, such organizations shall serve as the external contact points responsible for accepting all complaints and disputes related to SRM’s financial instruments business, regardless of their nature.

Name The Financial Instruments Mediation Assistance Center (FINMAC)
Address Daini-Shoken Kaikan Bldg, 2-1-1 Nihonbashi Kayabacho, Chuo-ku, Tokyo 103-0025
Tel. 0120-64-5005
(Monday through Friday, 9:00 a.m. to 5:00 p.m. Japan Standard Time (excluding national holidays, etc.))

The procedures taken by the FINMAC are a type of alternative dispute resolution. Thus, customers are able to freely choose the method they believe to be best suited for resolving disputes, including the use of other external agencies (an arbitration center operated by a bar association, etc.) as well as the resolution of disputes in court.