Site Policy

The contents of this material are regarded as the Advertisement defined by the Financial Instruments and Exchange Law. Therefore, please be advised to confirm the following particulars:

Trade Name of the Financial Instruments Dealer: RCM Japan Co., Ltd.
The company is registered as the Financial Instruments Dealer which engages in the investment advisory, agency of investment advisory and discretionary investment management businesses.
Registered Number: The Director of Kanto Local Finance Bureau (Financial Instruments Dealer), No. 424.
Association Membership: Japan Securities Investment Advisers Association (Membership No. 011-01236)

On Fees & Risks related to Investment Advisory Agreements and Discretionary Investment Management Agreements

1. Fees

The annual management fee for services under an Investment Advisory Agreement and a Discretionary Investment Management Agreement are ultimately determined on the basis of individual consultation with the customer. Please confirm such fees in the documentation distributed to the customer prior to concluding a contract. Apart from management fees, broker commissions, custody fees and other fees related to administrating and managing a portfolio based on the Discretionary Investment Management Agreement are to be born by the customer. However, the customer will typically be charged those fees via their contracted custodian (trustee) and not by RCM Japan Co., Ltd. (‘RCM Japan”). As such fees are to be agreed with the client appointed custodian and as those fees depend on asset, contract duration, etc., RCM Japan is not in a position to fully disclose such fees.

2. Risks

The types of assets under an Investment Advisory Agreement or a Discretionary Investment Management Agreement are determined on the basis of consultation with the customer. However, the financial products and derivative transactions etc. are affected by fluctuations in a variety of indicators etc. Accordingly, when a customer's assets are subject to an Investment Advisory Agreement or a Discretionary Investment Management Agreement, there is a risk for a loss of principal. When concluding a contract, please ensure confirming the documentation distributed to you prior to concluding a contract.