Solicitation Policy for Financial Products
In accordance with Article 9 of the “Act on the Sale of Financial Products,” we hereby establish and publicly announce our solicitation policy for the sale of financial products. It should be noted that “sale of financial products” under the “Act on the Sale of Financial Products” includes the “conclusion of real estate specified joint enterprise contracts as stipulated in Article 2, Paragraph 3 of the Real Estate Specified Joint Enterprise Act (limited to those that have the purpose of investment with money and involve the distribution of residual assets or the return of investment in money upon the termination of the contract, or those specified by government ordinance as similar matters).
Basic Stance on Solicitation to Clients
When soliciting investments, we will recommend products that are suitable for the client’s knowledge, investment experience, investment objectives, and financial situation.
To enable clients to make appropriate investment decisions, we will strive to provide thorough and accurate explanations in advance, through the delivery of written documents, regarding the details of the products, market risks, and various other risks.
We will not engage in solicitations that provide definitive judgments or misleading information that could cause misunderstandings.
Methods and Timing of Solicitation to Clients
We will conduct appropriate solicitations in compliance with the Financial Instruments and Exchange Act and other related laws and regulations.
We will take full consideration of the timing, location, and methods of solicitation to ensure that we do not inconvenience our clients.
Ensuring Proper Solicitation
We will strive to establish an internal system and ensure that our employees acquire and refine their knowledge to conduct proper solicitations to clients.
We will strive to respond appropriately to client inquiries and incorporate client opinions and requests into our business activities.
Points to Note in Financial Transactions
Name of Financial Instruments Business Operator |
Sun Frontier Fudousan Co., Ltd. |
|---|---|
Registration Number |
Kanto Local Finance Bureau Director (Kinsho) No. 1297 |
Business Operations |
Type II Financial Instruments Business |
As a Type II Financial Instruments Business Operator, we do not engage in investment advisory, agency, or investment management services. The fees that clients pay to our company will be determined through consultation, taking into account the products and contract forms involved in the transactions.
The securities handled by our company (such as real estate trust beneficiary rights and silent partnership interests) may incur losses due to fluctuations in the price of the underlying real estate assets and the performance of leasing and other operations. Additionally, there are no guarantees of principal or yield. Please be aware that the risk of the value of the securities you invest in falling below the invested principal will be borne by you.
Depending on the client’s purchase experience and acquisition objectives, we may not be able to handle the financial transactions you apply for. Under the Financial Instruments and Exchange Act, clients are classified as either “professional investors” or “general investors” who are not professional investors. If you are classified as a professional investor, certain conduct regulations imposed on financial instruments business operators may not apply. Additionally, clients who meet certain conditions can request to transition between professional investors and general investors.
Under the Act on Prevention of Transfer of Criminal Proceeds (Criminal Proceeds Transfer Prevention Act), financial instruments business operators are required to verify the identity of the parties involved when conducting the sale, agency, or brokerage of financial products. Therefore, when conducting such transactions with our clients, we will ask you to present identification documents. We appreciate your cooperation.
For information regarding the “Act on the Sale of Financial Products ” (Act No. 101 of 2000), please refer to the Financial Services Agency’s website.
