Solicitation Policy in Relation to Financial Instruments Transaction Business.
CBRE K.K. (hereinafter “CBRE”) complies with the Sales of Financial Products, etc. Law and other applicable laws, regulations and guidelines and solicits business in accordance with the following policies:
1. Matters to be considered in relation to knowledge, experience and financial circumstances of a client:
- CBRE will endeavor to review a client’s knowledge, investment experience and financial circumstances thoroughly and recommend appropriate investment which we consider suitable for a client.
- CBRE will endeavor to provide adequate advice and explanation on such important matters as the contents and the potential risks of any products which it recommends so that a client can enter into a transaction with informed decision and responsibility.
2. Matters to be considered in relation to the methods and time of solicitations:
- CBRE will endeavor to ensure that it complies with Financial Instruments and Exchange Law, Sales of Financial Products, etc. Law, and other applicable laws, regulations and guidelines when soliciting investment.
- CBRE will endeavor to solicit investment in and at appropriate locations and time and by the method preferred by the client.
3. Other matters in relation to the appropriateness of solicitations:
- CBRE will endeavor to educate its employees on necessary professional knowledge and skills to ensure appropriate solicitations at all times.
- CBRE will endeavor to respond in a timely and appropriate manner to queries received from clients.
4. Grievance and Dispute resolutions :
Financial Instruments Business Operator
Registration Number: (Kinsho) 1301