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Solicitation Policy

Upon commencing transactions with Shinsei Securities

  • Shinsei Securities Co., Ltd. (hereinafter referred to as "Shinsei Securities") is a wholly-owned subsidiary of Shinsei Bank Co., Ltd. (hereinafter referred to as "Shinsei Bank"), and is a separate legal entity from Shinsei Bank.
  • The products and services provided by Shinsei Securities are the financial instruments business which Shinsei Securities is permitted to operate, and are not provided by Shinsei Bank. Shinsei Securities does not operate the Bank Agency Service nor the Trust Agreement Agency Business. However, Shinsei Bank may from time to time provide the broker service for sale/purchase of securities for Shinsei Securities when entrusted by Shinsei Securities.
  • Any transaction of a customer with Shinsei Securities does not affect the customer´s other transactions with Shinsei Bank, its subsidiaries, etc. or its affiliated companies, etc. (hereinafter referred to as the "Parent Juridical Person, etc.") in any way. Likewise, any transaction of a customer with the Parent Juridical Person, etc. will not affect the customer´s other transaction with Shinsei Securities in any way.
  • Pursuant to the regulations under the Financial Instruments and Exchange Law, etc., Shinsei Securities may receive from, or provide to, Parent Juridical Person, etc. the undisclosed personal information of a customer only after obtaining the prior written approval of the relevant customer.
  • To avoid any event which may unreasonably impair the interest of the customer of the business related to financial instruments of Shinsei Securities, control measures are taken based on the separately established the Policy for Control of over Conflict of Interest.

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Solicitation Policy

Shinsei Securities recommends and sells suitable financial products to our customers in compliance with the Law Concerning the Sale etc. of Financial Products, the Financial Instruments and Exchange Law, and other relevant laws, ordinances and regulations and pursuant to the following policy.

  • 1. Shinsei Securities shall endeavor to recommend suitable financial products to our customers based on an understanding of its customers´ knowledge of financial products, investment objectives, financial conditions and investment experience.
  • 2. Shinsei Securities shall endeavor to provide sufficient information on product details, risks and so forth so that our customers can make transactions based on their own judgments and on their own responsibility.
  • 3. Shinsei Securities shall endeavor to provide objective investment information based on accurate information and data in order to avoid any misunderstanding by our customers.
  • 4. Shinsei Securities shall endeavor to carefully select the sales method, place and time in order to prevent any inconvenience to our customers.
  • 5. Shinsei Securities provide its officers and employees with thorough internal education and training programs in order to avoid any inappropriate sales activities and to provide professional advice.
  • 6. Shinsei Securities shall endeavor to develop and enhance our internal control system in order to ensure full compliance with the Financial Instruments and Exchange Law and other relevant laws, ordinances and regulations.
  • 7. Shinsei Securities sincerely listens to customer opinions and requests regarding transactions with us in order to improve solicitation activities towards, and advice given, to its customers.
Established in April 2001
Revised on April 1, 2012

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