Notice Regarding Financial Instruments Transactions
In connection with the sale of financial instruments, the Company complies with the Financial Instruments and Exchange Act, Act on Sales, etc. of Financial Instruments, Consumer Contract Act, Trust Business Act, and other related laws and regulations, and conducts sales activities from the customer’s standpoint in accordance with the following policy.
1.The Company endeavors to present appropriate products and explain them in a way that is easily comprehendible.
·The Company takes into consideration the customer’s product knowledge, experience, reasons for purchase, and assets, etc., strives to provide appropriate explanations so that the customer gains a sufficient understanding of products and risks, etc., and works to present products that match the customer’s intentions and track record.
·The Company puts the trust of the customer first and does not present products in a manner that could mislead the customer, such as by not revealing important information or making assertive statements about matters that are uncertain.
2.The company presents products from the customer’s standpoint.
·Regarding product presentations, the Company works to ensure they are conducted appropriately by ensuring the time, place and method do not cause the customer any inconvenience.
3.The Company pursues customer satisfaction.
·The Company works to incorporate opinions and other feedback from customers into product sales.
·The Company endeavors to acquire knowledge related to relevant laws and regulations and products to ensure the sale of appropriate financial instruments to customers.
Disclosed Under the Financial Instruments and Exchange Act, etc.
1.Remuneration and Fees
·The services provided by the Company are varied and depend in each case on market conditions and the content of individual transactions. In light of these characteristics, the Company is unable to disclose specific amounts for fees, etc. or their calculation methods in advance on this website.
·Silent partnership interests, trust beneficiary rights and other marketable securities handled by the Company are impacted by fluctuations in real estate (the underlying asset) values and rents, interest rate levels, foreign exchange rates and other factors, so the customer may incur losses if the price declines. Accordingly, the customer bears the risk of the value of securities investments falling below investment principal.
Complaint Processing Measures and Dispute Resolution Measures related to Financial Instruments
1.Regarding complaint processing and dispute resolution in the Company’s financial instruments transaction services
·The Company takes complaints, etc. from customers of its financial instruments transaction services at the following consultation desk.
Department in charge: Management Dept., Sakia Hospitality Co., Ltd. Address: Aska V Nihonbashi 7F, 1-3 Nihonbashi Odenmacho, Chuo-ku, Tokyo 103-0011 Tel: 03-6667-0790 (reception)
Standard Flow for Complaint Resolution (1)Complaint, etc. received from the customer, etc. by the above consultation desk (2)The staff member in charge inquiries into the details and considers solutions (including the Company’s compliance division and/or outside attorneys) (3)A resolution proposal is made to the customer to resolve the issue In addition to the above, the Company has established the following complaint processing and dispute resolution measures for the categories of service it has been registered to provide.
1. Advisory and agency services For complaints or other types of requests related to investment advisory and agency services, the Company works to resolve service-related complaints and disputes related to financial instruments transaction services, etc. by using the Financial Instruments Mediation Assistance Center, which the Company is registered to use. To use this organization, make the request at the following address.
Financial Instruments Mediation Assistance Center Address: 2-1-13 Kayaba-cho, Nihonbashi, Chuo-ku, Tokyo 103-0025 Tel: 0120-64-5005 (toll-free) (9:00-17:00, Monday to Friday, except national holidays, etc.) The following is the standard flow for complaint resolution and mediation procedures conducted by the Financial Instruments Mediation Assistance Center. Inquire with the Financial Instruments Mediation Assistance Center for more details.
Standard Flow for Complaint Resolution 1. Complaint made by customer 2. Brokerage of complaint to member company 3. Discussion between customer and member company, and resolution (standard flow of mediation procedures for dispute resolution) 4. Customer submits mediation request 5. Reception of mediation request and appointment of mediator 6. Payment of mediation fee by customer 7. Mediator investigates the details with the customer and the member company 8. Mediation proposal presented and accepted
2. Specified Type II Financial Instruments Transaction Services
·Regarding dispute resolution requested in connection with complaints on specified type II financial instruments transaction services, the Company has concluded agreements with the Tokyo Bar Association, Dai-Ichi Tokyo Bar Association and Dai-ni Tokyo Bar Association, and works to resolve service-related disputes related to financial instruments transaction services, etc. through mediation and arbitration using the Tokyo Bar Association Dispute Resolution Center established and operated by the Tokyo Bar Association, Dai-Ichi Tokyo Bar Association Arbitration Center established and operated by the Dai-Ichi Tokyo Bar Association, and the Daini Arbitration and Mediation Center established and operated by the Daini Tokyo Bar Association (collectively, the “Arbitration Centers”). To use the Arbitration Centers, please contact the following addresses.
Tokyo Bar Association Dispute Resolution Center Hours: Monday-Friday (except national holidays and New Year’s holiday period), 9:00-12:00, 13:00-15:00 Tokyo Bar Association 1-1-3 Kasumigaseki, Chiyoda-ku, Tokyo 100-0013 Tel: 03-3581-0031
Dai-Ichi Tokyo Bar Association Arbitration Center Hours: Monday-Friday (except national holidays and New Year’s holiday period), 10:00-12:00, 13:00-16:00 Dai-Ichi Tokyo Bar Association Arbitration Center Office 1-1-3 Kasumigaseki, Chiyoda-ku, Tokyo 100-0013 Tel: 03-3595-8588
Dai-ni Tokyo Bar Association Arbitration and Mediation Center Hours: Monday-Friday (except national holidays and New Year’s holiday period), 9:00-12:00, 13:00-17:00 Bar Association Bldg, 9F, 1-1-3 Kasumigaseki, Chiyoda-ku, Tokyo 100-0013 Tel: 03-3581-2249
The standard flow for dispute resolution procedures conducted by the Arbitration Centers is as follows. Inquire with the centers directly for more details.
Standard Flow for Dispute Resolution Procedures (with Prior Agreement on Arbitration) 1. Request made to Arbitration Center 2. Appointment of arbitrator 3. Notification of parties involved 4. Attendance on arbitration date 5. Arbitration decision made by arbitrator