Solicitation Policy

Pursuant to the Article 9 of the Law Concerning the “Sales of Financial Products of Japan”, RCM Japan Co., Ltd. (Hereinafter referred to as “the Company”) has established the following solicitation policy, and will engage in solicitation for the Investment Advisory Agreement and Discretionary Investment Management Agreement on that basis.

  1. Matters for consideration in relation to the customer’s knowledge, experience, and asset position
    • The Company will endeavor to understand the customer’s investment objective, investment policy and asset position, and engage in solicitation tailored to the customer's knowledge, experience, and permissible range of the risk.
    • The Company will endeavor to provide appropriate explanation of investment details, risk, etc. considering the customer’s knowledge, experienced permissible range of the risk, and asset position.
  2. Matters for consideration in relation to the solicitation method and time for the customer
    • In its solicitation, the Company will always consider earning the customer’s trust, and complying with the Financial Instruments and Exchange Law of Japan and relevant laws and regulations as well as the rules of the Japan Securities Investment Advisers Association, and engage in solicitation that places the customer first and foremost.
    • In its phone-based and door-to-door solicitation, the Company will approach each customer with the appropriate method, time and location considering the customer’s circumstance. Please contact our Compliance Dept. at the number listed below if the solicitation presents a nuisance.
  3. Other matters concerning the appropriate solicitation practice
    • The Company is strengthening the internal control framework to comply with the Financial Instruments and Exchange Law of Japan and relevant laws and regulations as well as the rules of the Japan Securities Investment Advisers Association to ensure that customer solicitation is conducted appropriately.
    • The Company will strive to engage in disclosing the appropriate information to ensure that the agreement will be entered into under the judgments and responsibility of the customer.
    • In order to prevent inappropriate solicitation, the Company will provide adequate levels of training to the employees. And the employees will ensure striving to improve their skills and knowledge constantly not to fall short of customer’s expectation. Should the customer have any questions or concerns, please contact our Compliance Dept. at the number listed below.

Partially revised on March 25, 2008.

Contact Information
Compliance Dept.
Telephone: 03-6229-0215