Complaint Handling Measures and Dispute Resolution Measures

Complaint Handling Measures

1. Complaint counter

In accordance with our "Complaint Handling Rules", we are exerting efforts to sincerely and promptly deal with complaints from our customers and obtain the understanding of our customers.
Please contact the following for any complaints in relation to our investment management business, investment advisory business, and type II financial instruments business.

Mercuria Investment Co., Ltd.
Compliance Division

E-mail
info@mercuria.jp

2. Complaints and dispute resolution related to investment management business and investment advisory business

In addition to seeking the resolution of complaints pursuant to Item 1 above, we will also seek to resolve complaints and disputes through the following organization with regard to our investment management business and investment advisory business. This organization has been consigned services related to complaint resolution, dispute resolution and mediation pertaining to our investment management business and investment advisory/agency business from the Japan Investment Advisers Association of which we are a member. This organization will receive complaints from our customers, and its mediation member will take mediation procedures when required.
If you wish to use this organization, please contact the following.

Financial Instruments Mediation Assistance Center (FINMAC)

Address
Daini-Shoken Kaikan Bldg., 2-1-1, Kayaba-cho, Nihonbashi, Chuo-ku, Tokyo 103-0025
TEL
0120-64-5005 (Toll Free)

Monday through Friday 9:00 to 17:00 (excluding national holidays and New Year's holiday)

FAX
03-3669-9833
WEB
http://www.finmac.or.jp/

3. Complaints and dispute resolution related to type II financial instruments business

In addition to seeking the resolution of complaints pursuant to Item 1 above, we will also seek to resolve complaints and disputes through the following organization with regard to our type II financial instruments business. This organization has been consigned services related to complaint resolution, dispute resolution and mediation pertaining to our type II financial instruments business from the Japan Investment Advisers Association of which we are a member. This organization will receive complaints from our customers, and its mediation member will take mediation procedures when required.
If you wish to use this organization, please contact the following.

Financial Instruments Mediation Assistance Center (FINMAC)

Address
Daini-Shoken Kaikan Bldg., 2-1-1, Kayaba-cho, Nihonbashi, Chuo-ku, Tokyo 103-0025
TEL
0120-64-5005 (Toll Free)

Monday through Friday 9:00 to 17:00 (excluding national holidays and New Year's holiday)

FAX
03-3669-9833
WEB
http://www.finmac.or.jp/