- The Company, in connection with the sales of financial instruments, will conduct appropriate solicitations by taking into consideration the customer’s knowledge, experience, financial status and purpose for concluding contracts concerning the sales of financial instruments.
- The Company takes its priority in ensuring the customer’s trust and will conduct solicitations with a principle treating customer first, complying with laws, regulations and rules, etc.
- To ensure that the customers make choices based on their own judgment and at their responsibility, the Company will deliver documents and take other proper measures so that the customers have sufficient understanding of important matters such as the contents of financial instruments and the risk attached.
- The Company shall not solicit the customers in a manner leading to any misunderstanding by the customers, such as providing decisive judgment or providing false information, etc.
- The Company’s solicitation by telephone or visit to the customers will not be conducted during hours that cause inconvenience to the customers.
If you notice any problem in the Company’s solicitation, please contact to the person in charge.
- The Company will enhance its internal control system in order to conduct appropriate solicitation to the customers.
- To ensure proper solicitation to the customers, the Company will enhance a training system of its employees and offer correct information about financial instruments.
The name of Financial Instruments Firm Mitsui Fudosan Co., Ltd. Kanto Local Finance Bureau (Kinsho) No 1083
The Company conducts the second financial instruments business and investment advisory and agency business.
Fees the customers should pay to the Company shall be decided by consultation considering financial instruments and characters of contracts.
In relation to the securities treated by the Company (real estate trust beneficiary interests, interests in secret partnership based on the Commercial Law Tokumei-Kumiai-Keiyaku, etc.), there is a risk of incurring loss due to the fluctuations of the price of real estate which is original property and results of rent, etc.
There is no guarantee for principal and interest.
The risk of incurring loss to principal of the securities invested shall be assumed by the customers.
The Company does not conduct investment management business in which the Company invests funds contributed by the customers to securities.
Under the "professional investors system" adopted in Financial Instruments and Exchange Law, the customers are categorized into "professional investors" or "general investors" who are customers other than professional investors.
In this system, parts of the rules of conduct on financial instruments firm are not applied when the customers are "professional investors".
In addition, the customers who fulfill the specified conditions may make requests to change their status between "professional investors" and "general investors" in each Type of Contract described below.
However, the effective period of status change, in which general investors are treated as professional investors or professional investors are treated as general investors, is limited by the law and order. The Company, as a financial instruments firm, is entitled by the law and order to set the last date of the effective period (the "Expiration Date") within one (1) year from the date when the Company consents to the status change.
< Type of Contract >
The Company solicits following two (2) types of contract:
- Concerning securities exchange
Trust beneficiary interests, interests in secret partnership based on the Commercial Law Tokumei-Kumiai-Keiyaku, etc.
- Concerning investment advisory
Investment advisory contract
< The Expiration Date >
The Company sets the Expiration Date as follows:
June 30th (including holiday) that comes first after the consent to the change of status
