We have established Complaint Handling Regulations and endeavor to respond sincerely and promptly to complaints and similar matters raised by customers and others, and to earn our customers' understanding.
1. Our Complaint Resolution Process
Our standard process for resolving a complaint is as follows:
- Receipt of the complaint from the customer
- Fact-finding by the responsible staff and consideration of a proposed resolution
- Presentation of the proposed resolution and resolution of the matter
2. Designated Dispute Resolution Measures
In addition to resolving complaints as described above, we have put in place the following complaint-processing and dispute-resolution measures prescribed by the Financial Instruments and Exchange Act, for each category of business for which we are registered:
(1) Investment Management Business and Investment Advisory and Agency Business
Complaints and disputes relating to financial instruments business are addressed through the complaint-resolution and mediation services provided by the Investment Management Association of Japan under the Financial Instruments and Exchange Act.
(2) Type II Financial Instruments Business
Complaints and disputes relating to financial instruments business are addressed through the complaint-resolution and mediation services provided by the Type II Financial Instruments Firms Association under the Financial Instruments and Exchange Act.
Both the Investment Management Association of Japan and the Type II Financial Instruments Firms Association have entrusted the handling of investor complaints concerning their members' financial instruments business — and the mediation of any resulting disputes — to the Financial Instruments Mediation Assistance Center. Accordingly, the contact point for both (1) and (2) above is as follows: