English translation for reference. View the Japanese original ↗
PROSIS Real Estate Investment Advisory Co., Ltd. establishes the following policy to ensure appropriate solicitation of clients, in compliance with the Financial Instruments and Exchange Act, other applicable laws and regulations, relevant rules and internal policies.
1. Solicitation appropriate to the client’s circumstances
We seek to understand each client’s knowledge, experience, financial circumstances, investment objectives, attitude toward risk and other relevant circumstances, and endeavor to offer and solicit financial products and services appropriate to the client’s intentions and situation.
2. Appropriate and sufficient explanations
We endeavor to provide clear, appropriate explanations to help clients understand financial products, transaction structures, fees, remuneration and other costs, risks, and other matters that may materially affect their investment decisions.
3. Proper solicitation
We do not use misleading statements or explanations, make false representations, provide conclusive assessments of uncertain matters, or engage in other inappropriate solicitation.
4. Consideration of solicitation methods
We give due consideration to clients’ convenience with respect to the timing, location and methods of solicitation. We also respect a client’s expressed wish not to receive solicitation.
5. Education and training
We provide ongoing education and training to officers and employees on applicable laws and regulations, financial products and other necessary matters, and endeavor to develop and strengthen internal controls to ensure appropriate solicitation.
6. Contact
PROSIS Real Estate Investment Advisory Co., Ltd.
Compliance Department
13F Mita Kokusai Building, 1-4-28 Mita, Minato-ku, Tokyo 108-0073, Japan
Email: prosis-am@pro-sis.co.jp
PROSIS Real Estate Investment Advisory Co., Ltd.
Financial Instruments Business Operator — Director-General of the Kanto Local Finance Bureau (Kinsho) No. 3542
Registered business: Type II Financial Instruments Business / Investment Advisory and Agency Business
Association memberships: Type II Financial Instruments Firms Association
Investment Management Association of Japan