Complaint Handling Measures and Dispute Resolution Measures
In response to the partial amendment of the Financial Instruments and Exchange Act in June 2009, the Financial ADR System* was established and enforced on October 1, 2010, and the Company has established the following Complaint Handling Measures and Dispute Resolution Measures.
* Financial ADR (Alternative Dispute Resolution) System: An out-of-court dispute resolution system in financial fields. It is a method of resolving disputes based on the parties' agreement and includes mediation, conciliation, and arbitration.
<Complaint Handling Measures>
(1) The Company has established the Regulations for Handling Complaints, Troubles, and Scandals and strives to respond sincerely and promptly to complaints from customers, seeking their understanding.
The contact information and the standard procedure for complaint resolution are as follows.
(i)Receipt of a complaint from a customer: Corporate Planning Dept.
Contact for complaints: telephone +81-3-4332-9951
(ii)Hearing from the internal person in charge and examination of solution proposals
(iii)Presentation of solution proposals and resolution
(2) In addition to resolving complaints as described above, the Company also aims to address complaints through the Financial Instruments Mediation Assistance Center. This center is entrusted with complaint resolution services by the Japan Investment Advisers Association and The Investment Trusts Association, Japan, which the Company has joined, and accepts complaints from customers. If you wish to use this center, please contact the following.
Financial Instruments Mediation Assistance Center
Telephone: 0120-64-5005 (Toll-free only from Japan)
The standard procedure for complaint resolution conducted by this center is as follows. For more details, please inquire directly with the center.
(i)Filing of a complaint by a customer
(ii)Referral of the complaint to the relevant member company
(iii)Discussions between the customer and the member company, and resolution
<Dispute Resolution Measures>
The Company aims to resolve disputes through mediation conducted by the aforementioned Financial Instruments Mediation Assistance Center. This center is entrusted with mediation services for dispute resolution by the Japan Investment Advisers Association and The Investment Trusts Association, Japan, which the Company has joined, and its mediation committee members conduct mediation procedures. If you want to use this center for resolving a dispute with the Company, please contact the above-mentioned number.
The standard procedure for mediation conducted by this center is as follows. For more details, please inquire directly with the center.
(i)Submission of a mediation application by a customer
(ii)Acceptance of the mediation application and appointment of a mediation committee member
(iii)Payment of the mediation application fee by the customer
(iv)Hearing by the mediation committee member from the customer and the relevant member company
(v)Presentation and acceptance of mediation proposals
Established on October 1, 2010
Revised on April 1, 2017
Revised on July 1, 2017
Revised on October 1, 2023
Revised on April 1, 2024