1. OUR GRIEVANCE RESPONSE PROCEDURE
(A) We will endeavor to do our utmost in sincerely and promptly responding to any complaints or grievances by our valued customers and providing understandable solutions. Our contact point for complaints and grievances will be the employee in charge of a given transaction. Typical steps that would be taken in grievance resolution will be as follows:
1. Receipt of a customer grievance;
2. Communication with the employee in charge with respect to the circumstances surrounding the grievance and possible resolutions of the issues at hand;
3. Presentation of our plan for final resolution of the grievance.
(B) In addition to the above mentioned process, the process using the organization below is also utilized in solving customer grievances. The organization below has been entrusted with the task of grievance resolution by Japan Investment Advisers Association (a “financial instruments firms association” under the Financial Instruments and Exchange Act or “FIEL”), of which we are a member, and will accept and handle customer grievances in connection with our investment advisory and agency business. Any customer wishing to utilize this organization should contact the following:
Financial Instruments Mediation Assistance Center (“FINMAC”)
2-1-3 Nihonbashi, Kayabacho, Chuo-ku, Tokyo 103-0025
Phone: 0120-64-5005 (free dial)
Hours of Operation: Monday through Friday, 9:00 – 17:00
Typical steps that would be followed in the FINMAC grievance resolution procedure will be as follows. Please contact FINMAC for details.
1. Submission of a customer grievance:
2. Communication of said grievance to us;
3. Discussion and resolution of the grievance between us and the customer.
2. OUR DISPUTE RESOLUTION PROCEDURE
We try to resolve disputes by using the mediation procedure at the above referenced FINMAC, which has been entrusted with the task of mediation by Japan Investment Advisers Association (a “financial instruments firms association” under FIEL), of which we are a member. FINMAC conducts mediator led mediations. Any customer wishing to utilize FINMAC for the purpose of resolving disputes with us should refer to the contact information provided above.
Typical steps to be taken in the FINMAC mediation procedure will be as follows. Please contact FINMAC for details.
1. Submission of customer request for mediation;
2. Acceptance of mediation request and appointment of a mediator;
3. Payment by customer of mediation fee;
4. Interview by the mediator of the customer and us;
5. Proposal of a solution and resolution.