Whiz Partners Inc. has established the following “Solicitation Policy” pursuant to Article 9 of the Act on Sales, etc. of Financial Instruments. In accordance with this policy, we conduct the solicitation of discretionary investment management contracts, investment advisory contracts, and collective investment schemes.
(1) Matters to be considered in light of the knowledge, experience, financial situation, and purpose of entering into a contract relating to the sale of the financial instrument, on the part of the person being solicited
- We endeavor to fully understand each client’s investment objectives and financial situation, and to ensure that the solicitation we undertake is aligned with the client’s intent and circumstances. We recommend collective investment schemes managed by the firm that we deem appropriate in light of the client’s knowledge, experience, financial situation, and investment objectives.
- In our solicitation, we endeavor to explain the nature and risks of the product clearly and at a level appropriate to the client’s knowledge, experience, financial situation, and investment objectives.
(2) Matters to be considered in relation to the methods and timing of solicitation
- In our solicitation, we hold the client’s confidence as paramount. We comply with applicable laws and regulations, conduct solicitation that places the client’s interests first, and ensure that solicitation is grounded in reasonable basis.
- Solicitation by telephone or visit is conducted at times that consider the client’s circumstances. Should any inconvenience arise during the course of solicitation, please contact us at the address below.
(3) Other matters relating to ensuring the appropriateness of solicitation
- We comply with the Financial Instruments and Exchange Act and related rules, and we work to strengthen our internal control framework so that solicitation is conducted appropriately.
- We endeavor to provide appropriate information so that transactions are conducted on the client’s own judgment and responsibility.
- Our directors and employees continually strive to acquire and improve their knowledge and skills, so as not to betray the trust and expectations of our clients.
- We provide adequate internal training to our directors and employees to prevent inappropriate solicitation. Should you notice any concern, please contact us at the address below.
(4) Contact
Administration Department, Main Line: +81-3-6430-6778 (Reception hours: 9:00 a.m. – 5:00 p.m., JST)