iSigma Capital Corporation sets forth the solicitation policy, provided for in Article 8 of the Act on Sales of Financial Instruments, as follows.
Matters to be considered in view of knowledge, experience and status of properties of a client and purposes of the contracts to transact financial products subjesct to our solicitation.
- Based on a satisfactory understanding of our customers’ investment experience, investment objectives, financial resources, etc., ISC shall endeavor to solicit investments that conform to the intention and actual situation of customers, and will recommend financial products that it believes to be appropriate in light of customers’ knowledge, investment experience, and financial status and purposes of the contracts to transact financial products.
- When recommending financial products, ISC shall endeavor to provide appropriate explanation so that customers can have a satisfactory understanding of the content of the financial product and content of risk.
Matters to be considered with respect to the methods of solicitation and time zone for solicitation
- When making a solicitation, we shall place the first priority on securing a client’s trust in us, and shall engage in appropriate business solicitation in compliance with the relevant laws and regulations.
- We shall not only respect the laws and regulations, but also endeavor to make a solicitation based on the rational grounds.
- In the time when a client might feel troubled, we shall neither make a solicitation by phone nor visit a client’s office for solicitation. In case you feel troubled by our solicitation, please mention the fact directly to our representative.
Other matters for securing appropriateness of solicitation
- We are endeavoring to reinforce the internal control system so that we can make an appropriate solicitation that complies with laws and regulations, etc.
- We provide internal education and training to executives and employees, so that no inappropriate solicitation is made by the staff of the company.
Please contact us at the number below if there are any concerns that you have noticed in our transactions with you.
Legal and Compliance Group +81 3-6278-9221