Mercuria Investment Co., Ltd. has prescribed its "Solicitation Policy" under Article 9 of the "Act on Sales of Financial Products" as follows.
We will observe laws and ordinances and our following Solicitation Policy in soliciting financial products.
- We will endeavor to solicit appropriate products in light of the customers' knowledge, experience, condition of property and purpose of transaction.
- We will endeavor to explain the important matters related to products and risks to customers in an easy-to-understand manner so that customers will have a thorough understanding of such products and risks. We will not engage in any inappropriate solicitation by making definitive claims or providing false information.
- We will engage in phone or door-to-door solicitation in accordance with the schedule of customers, and will not engage in any solicitation during inconvenient hours.
- We will observe the Financial Instruments and Exchange Act and other applicable laws and ordinances as well as the various rules and regulations of the Japan Investment Advisers Association and the Type II Financial Instruments Firms Association, and endeavor to reinforce our internal control system so that solicitation is performed appropriately.
- In order to implement this Solicitation Policy and promote proper solicitation, we will offer sufficient training to our officers and employees so that they can acquire knowledge related to this Solicitation Policy and proper solicitation activities.
- We will endeavor to properly answer inquiries from customers related to our sales and solicitation activities.
January 1, 2016