SRM’s policies for soliciting sales, etc. of financial products to our customers are as follows.
Basic Polices for Solicitation
- We seek to solicit investment in appropriate products in light of the knowledge, investment experience, and asset conditions of customers, as well as their purpose for entering into contracts related to the sale of these financial products.
- We seek to provide sufficient and appropriate explanations that include products details and risks customers need to know about when making a decision on investment so that they can properly make transactions based on their own judgment and at their own risk.
- We will not provide judgmental, false, or misleading information to solicit investment.
- We seek to avoid providing misleading explanations and information.
- We will not solicit door-to-door or over the phone during hours or in places inconvenient to the customer.
- We seek to observe laws and regulations and ensure that proper services are provided.
Other Related Matters
- We seek to ensure that our employees abide by these policies, acquire additional knowledge, and improve their skills
regarding products so that they can conduct proper solicitation practices.
- We seek to strengthen our internal control system for proper solicitation practices by complying with laws and
regulations and the rules of self-regulatory organizations.
- We seek to respond properly to customer inquiries about our sales and solicitations.