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Policy for Sales of Financial Products

1. Respect for customer's knowledge, experience, financial conditions, etc.
  • Shinsei Trust will recommend suitable investment proposals based on an understanding of the customer's knowledge, financial conditions, investment experience and contract objectives.

  • Shinsei Trust will provide sufficient information, including risks and fees as well as advantages of the product, to allow the customer to make an informed purchase decision at the customer's own discretion.

2. Respect for customers regarding time and method of sales
  • Shinsei Trust employees will strictly abide by all related laws and regulations, and endeavor to engage in customer-oriented sales activities.

  • Shinsei Trust employees will engage in customer-oriented sales activities based on rationale. We will provide impartial, unbiased advise on financial products and supply the customer with clear and truthful information.

  • Shinsei Trust employees will not engage in sales activities without customer's requests.

  • Shinsei Trust employees will verify customer's intent to be solicited before engaging in any sales activities.

  • Shinsei Trust employees will not engage in another sales activities against customer's will.

  • Shinsei Trust employees will not engage in sales activities at times or places inconvenient to the customer. Please notify us if there was any inconvenience.

3. Other guidelines to ensure appropriateness of sales activities
  • Shinsei Trust employees are thoroughly trained to provide professional advice and to avoid inappropriate sales activities. If there were any concerns regarding our sales method or transactions, please notify the general manager of Compliance at 03-6880-6207.

  • Shinsei Trust employees will endeavor to acquire necessary knowledge and skills in order to fulfill customers' trust and expectations.

  • Shinsei Trust has a comprehensive system of in-house suprevision to ensure that applicable laws and regulations, including the Trust Law, Trust Business Law, Concurrent Business Law for Financial Institutions Engaged in Trust Operration, and Financial Instruments and Exchange Law, are strictly abided and appropriate solicitation is conducted.

  • Shinsei Trust will provide sufficient information to allow the customer to make an informed purchase decision at the customerfs own discretion.





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