Regarding measures for handling complaints and measures for dispute settlement based on the Financial Instruments and Exchange Act
We will make an effort to gain understanding from our clients by addressing their complaints sincerely and promptly.
Not only do we settle any complaint based on our internal rules, but also, we will work for resolution of complaints and disputes related to Investment Management Business as well as Investment Advisory and Agency Business through the complaint resolution procedure and mediation by the Japan Investment Advisers Association of which we are a member. The Japan Investment Advisers Association will consign complaint resolution and mediation to the Financial Instruments Mediation Assistance Center (NPO).
The contact number concerning the complaint and the dispute settlements is as follows.
Contact for Reporting Complaints, etc. (Financial Instruments Business)
Contact：Financial Instruments Mediation Assistance Center (FINMAC)
Address：2-1-13 Nihonbashi Kayabacho, Chuo-ku, Tokyo 103-0025
Telephone：0120-64-5005 (Toll Free)
Monday through Friday from 9:00 AM to 5:00 PM（excluding holidays, etc.）