Registration as Financial Instruments Business Operator and Other Items
Registration as Financial Instruments Business Operator
Marubeni Asset Management Co., Ltd., Director-General of the Kanto Finance Bureau (Kinsho), Registration No. 1914
The Company conducts investment management business, investment advisory/agency services, and Type II financial instruments business.
Compensation such as the fees that the clients pay the Company under the financial instrument transaction contract will be decided through a consultation, keeping the specific product, contract structure, and other details in consideration.
The securities, etc. that the Company handles (real estate trust beneficial rights, silent partnership equity interests and others) may incur losses as a result of fluctuations in prices, leasing performance, and other matters of the real estate in which the Company invests. Neither the principal investment nor investment return is guaranteed.
The client shall bear the risk that the invested securities may fall below their value at the time of purchase.
Although efforts will be made so that our clients fully comprehend the content of all pre-contract documents delivered to clients ahead of time, the Company kindly asks our clients to thoroughly review the documents before signing a financial instrument transaction contract with the Company.
Solicitation Policy Regarding Sale of Financial Instruments
We establish and disclose our solicitation policy regarding the sale and other handling of financial instruments in accordance with Article 9 of Act on Sales, etc. of Financial Instruments as follows.
Basic stance on solicitation
When recommending instruments, the Company strives to provide our clients with appropriate explanations of product details, potential risks, and other information, in light of our clients’ knowledge, experience, and status of property.
Solicitation methods and hours, etc.
To ensure that our clients can conduct transactions based on their own judgment and responsibility, the Company strives to have our clients fully comprehend important matters such as product details and potential risks through delivery of written documents and other appropriate methods.
The Company will not present our clients with conclusive evaluations or false information or otherwise take part in solicitation activities that would mislead our clients.
Protecting our clients’ trust in us is our priority when recommending instruments. The Company will comply with all applicable laws, regulations and rules, and conduct investment solicitation activities with our clients’ interests as a priority.
The company endeavors to avoid solicitation activities by phone or visits during hours that would be inconvenient for our clients. Should any of our solicitation activities be an inconvenience, our clients are kindly requested to inform the staff in charge.
Other matters of concern
The Company endeavors to strengthen in-house management structures to ensure appropriate solicitation activities for our clients.
To ensure that our solicitation activities are appropriate for our clients, the Company is committed to solidifying employee training and acquisition of knowledge on instruments.
Processing of complaints and dispute settlement under the financial ADR system
The Company strives to earn our clients’ understanding by establishing the rules for processing complaints and dispute settlement to resolve complaints and such as well as have a legal compliance/risk management department for processing complaints respond sincerely and assume full accountability.
The complaint processing section shall process complaints from clients promptly and adequately. In the case of a serious manner, it shall be reported to the Board of Directors, etc. on a timely basis and be addressed in cooperation with outside experts such as a lawyer while at the same time sharing the information within the Company.
Complaint Processing Office
Legal compliance/risk management department
Address: 1-6-1 Otemachi, Chiyoda-ku, Tokyo 100-0004, Japan
Tel: +81-3-6256-0202 Fax: +81-3-3217-3310 (Monday-Friday: 9:15-12:00 and 13:00-17:30 except for National Holidays)
In addition to seeking settlement of complaints and disputes in the manner described in 1.2. above, the Company also works to settle complaints and disputes related to its Type II financial instruments business conducted by the Company, by using the centers stated in 4. The Company has concluded a letter of agreement with these centers, and clients may claim conciliation/mediation for settling complaints and disputes based on the financial ADR system.
Name and contact information of the centers
Dispute Resolution Center of the Tokyo Bar Association
Arbitration Center of the Dai-Ichi Tokyo Bar Association
ADR Center of Daini Tokyo Bar Association (contact desk)
Address: 1-1-13 Kasumigaseki, Chiyoda-ku, Tokyo 100-0013, Japan
Tel: +81-3-3581-2249 FAX: +81-3-3581-3337 (Monday-Friday: 9:15-12:00 and 13:00-17:30 except for National Holidays)
The Company seeks to settle complaints and disputes from our clients concerning its investment management business and its investment advisory and agency businesses through the Investment Trusts Association and the Japan Investment Advisers Association. The Investment Trusts Association and the Japan Investment Advisers Association entrust their complaint processing and dispute settlement services with the Financial Instruments Mediation Assistance Center. Therefore, the contact desk for complaint advice and mediation of dispute settlement concerning investment management business and its investment advisory and agency businesses conducted by the Company will be as follows.
Name: Financial Instruments Mediation Assistance Center（FINMAC)
Address: 2-1-1 Nihonbashi Kayabacho, Chuo-ku, Tokyo 103-0025, Japan
Tel: 0120－64－5005 (toll free) Hours: 9:00-17:00 (except for Saturdays, Sundays, National Holidays and Year-end/New Year (Dec. 31 – Jan. 3))
“End Date” of registered investor category under the Financial Instruments and Exchange Act
The “End Date” of the status as the transferred investor category under the Financial Instruments and Exchange Act (the last day of the valid period of being categorized as one of the investor categories after transferring from the other category) is set as follows.
March 31 of every year
Under the Financial Instruments and Exchange Act, clients are classified into two investor categories, “Professional Investor” and “Investor Other Than Professional Investor” (the “General Investor”), according to the type of contract. After the client undergoes the prescribed application process and is approved by our Company, the client may be authorized to shift statuses from either “Professional Investor” to “General Investor” or from “General Investor” to “Professional Investor.”
When a client has shifted his/her category to the other category as stated above, the final day of valid status will be the next coming “End Date.” Should clients wish to prolong their status as the transferred category, we kindly ask clients to apply for status renewal. Renewal applications may be filed before the End Date.
If the renewal application is not filed by the “End Date,” the status will return to the previous category before the transfer.