Basic Policy on Customer Solicitation

When recommending financial instruments to customers, the Company will strive to provide explanations in light of the knowledge, experience, and status of property of customers, and the purpose for the conclusion of the contract pertaining to sales of financial instruments.

Method and Timing, etc. of Customer Solicitation

• The Company will strive to enable customers to understand important matters concerning financial instruments, such as their contents and associated risks, by issuing documents or other appropriate means, so that customers can decide to undertake trades at their own responsibility and judgment. The Company will not mislead customers by giving assertive judgmental content or providing inaccurate information.
• When recommending financial instruments to customers, the Company will place top priority on securing the confidence of customers, observing laws, regulations, and other rules, and striving to solicit investment in a customer-oriented manner.
• The Company will never solicit customers by calling or visiting them at times considered inconvenient for them.

Other

• The Company strives to enhance its internal control systems to ensure appropriate customer solicitation.
• The Company strives to obtain knowledge of the financial instruments it offers in its efforts to ensure appropriate customer solicitation.
• The Company responds appropriately to complaints and requests from customers.