Solicitation Policy

In compliance with the Law on Sales, etc. of Financial Instruments, this Company explains its policy in soliciting its customers for its products, as follows:

1. This Company’s fundamental policy in soliciting its customers:

• We shall endeavor to solicit a product suitable for each customer’s actual circumstance, paying due respect to the customer’s intention upon thoroughly reviewing and understanding the customer’s investment experience, knowledge, financial condition, investment objective, etc.; and
• Upon conducting solicitation, we shall endeavor to provide adequate explanations with respect to the contents of the investment and potential risks thereof in light of each customer’s knowledge, experience, etc. in investment, thus enabling the customer to make a decision at the customer’s own judgment and responsibility, and we shall not mislead the customer with regard to any uncertain matters by committing such acts as offering any judgmental opinion or any matter that may lead the customer to misjudge certainty thereof, or offering any untruthful information, etc.

2. Matters concerning the Methods, Places and Hours of Solicitation

• Our primary goal at all times shall be to secure our customers’ trust on us; and therefore, we will endeavor to put priority on their interest;
• We will endeavor to conduct solicitations based on reasonable grounds, complying with the applicable laws and regulations;
• We will not make any solicitation by telephone or visit at any hours inconvenient for our customers. Please notify any inconvenience to the Funds Planning Division of this Company (Tel.: +81-3-5218-8293).

3. Other Matters concerning ensuring of Appropriateness of Solicitations

• This Company shall endeavor to prepare for and enhance an internal management system for conducting appropriate solicitations, being in compliance with the Financial Instruments and Exchange Law, the Law on Sales, etc. of Financial Instruments and other related laws and regulations, etc.

This Company has been registered for the investment management business, the investment advisory and agency business and the second financial instruments business, as a financial instruments firm.

Simplex Real Estate Management Inc.