The Company has established the following contact for inquiries or complaints about financial instruments transactions.
銀行法、金融商品取引法、信託業法、貸金業法、資金決済法などの業法のコンプライアンス。
Compliance with banking law, financial commodity trading law, trust industry law, loan industry law, capital settlement law, etc.
従業員株主会に係る金融商品取引に関する法定調書作成/提出。
To prepare and submit a statutory report of financial instrument exchanges for the employee shareholders' meeting.
当社の金融商品取引業務及びそれに付随する業務に関して専門家等に助言を依頼するため。
For requesting advice from experts on financial instruments transaction operations and other operations incidental to those which are performed by the Company.
The registration enables financial instruments business operators, such as securities companies, investment advisory companies, to provide their customers with JCR's credit ratings on their reports, without obligation of additional explanations.
When we provide important information regarding financial instruments transaction contracts or services to our clients, we will endeavor to provide such information in a manner easily understandable by our clients.
The Financial Division within the group is qualified as a Type II financial instruments trading business, and can propose and implement a comprehensive financial solution for development.
When we provide information regarding financial instruments transaction contracts or services to our clients, we will provide an appropriate explanation of commissions for the financial instruments transaction contracts or services in compliance with applicable laws and regulations.
Providing legal advice on insider trading regulations, interim disclosure, reports on equity changes, and other rules stipulated in financial commodity trading laws, and on stock exchange rules, etc.
Fees and others paid by customersIn contracts involving financial product transactions, compensations such as fees customers pay to our company are determined individually based on the specific products, the content of the contract and so forth.
Compensation such as the fees that the clients pay the Company under the financial instrument transaction contract will be decided through a consultation, keeping the specific product, contract structure, and other details in consideration.
Compensation such as the fees that the clients pay our company under the financial product transaction contract will be decided in a council, keeping the specific product, contract structure, and other details in consideration.
We process complaints and resolve disputes related to financial instruments transaction services through complaint resolution or mediation by the Japan Investment Advisers Association under the provisions of Financial Instruments and Exchange Act.
The fees payable by the clients for a contract for a financial instrument transaction is determined and based on mutual agreements considering the type of product and contract.
Audit agreement of accounting audits, which are based on the Financial Instruments Exchange Law and Corporation Law, are conducted and concluded with Avantia auditing firm.
In order to secure the appropriateness and reliability of financial reporting, we shall consolidate our system pursuant to the Financial Products Transaction Law and other applicable laws and regulations, and evaluate its effectiveness and make improvements, etc.
The fees payable by the client for a contract for a financial instrument transaction is determined based on mutual agreements considering the type of product and contract.
The Group shall disclose information in a quick, accurate and easy-to-understand manner in accordance with the Securities Listing Regulations of financial instruments exchanges and other regulations.
We will provide an appropriate explanation with respect to the fees for the contracts for financial instrument transactions or services when we deliver information regarding such contracts or services in compliance with the applicable laws and regulations.
These regulations apply to a person excluding"an individual, financial instruments business operator, etc. or a person who carries out over-the-counter derivatives transaction as business in foreign jurisdiction" under(39) of Article 117.1 of the F.I. Business Ordinance.
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