Matters to Be Noted for Financial Instruments Exchange, etc.

Solicitation policy based on the Act on Provision of Financial Services

Pursuant to the Act on Provision of Financial Services, the Company determines and publishes the following Policy for the Solicitation of Sale of Financial Instruments, etc.

  1. Basic attitude regarding solicitation of customers
    To ensure that customers carry out transactions at their own discretion and responsibility, when the Company recommends a financial instrument, it will avoid providing any assertive conclusion or incorrect information that would mislead customers and will appropriately explain the details of the financial instrument, risks, charges incurred for the transaction, and other matters in light of customers' knowledge and experience, status of assets and purpose of executing the agreement.
  2. Method of soliciting customers and hours of solicitation
    With regard to the solicitation of customers, the company will always place the utmost priority on earning customers' trust and conduct customer-oriented solicitation for investment in compliance with the Financial Instruments and Exchange Act and other related laws and regulations. The Company will perform solicitation during hours and at places convenient to customers.
  3. Other matters
    To ensure that customers carry out transactions at their own discretion and responsibility, the Company will provide appropriate information. To earn customers' trust, the Company will continue making efforts to realize sales activities that meet customers' demands.

Policy for responding to complaints, etc.

The Company places the utmost priority on earning customers' trust and will take speedy, fair and appropriate actions to settle complaints and disputes, including objections raised by customers, that arise in connection with the execution of a financial instrument transaction agreement with customers (such complaints, disputes and customer objections hereinafter referred to as "Complaints, etc."; "financial instrument transaction agreement" means a financial instrument transaction agreement specified in Article 34 of the Financial Instruments and Exchange Act (hereinafter referred to as the "FIEA")) and all incidental services provided by the Company.

Use of external organizations, etc. to settle Complaints, etc.

To settle Complaints, etc. related to the Company's services provided under the FIEA, the Company will carry out a complaint processing measure or dispute resolution measure in accordance with the type of services specified below.

  1. Type II financial instruments business: Using the Type II Financial Instruments Firms Association as a complaint processing measure or dispute resolution measure set forth in Article 37-7, paragraph (1), item (ii)(b) of the FIEA.
  2. Investment advisory and agency business: Using the Japan Investment Advisers Association as a complaint processing measure or dispute resolution measure set forth in Article 37-7, paragraph (1), item (iii)(b) of the FIEA.


The Company receives Complaints, etc. from Customers through the Company's person in charge for each customer or an inquiry form. For complaint processing and dispute resolution, customers may also use Financial Instruments Mediation Assistance Center (FINMAC).

Financial Instruments Mediation Assistance Center (FINMAC)
TEL: 0120-64-5005
Business hours: 9:00–17:00 from Monday to Friday (excluding public holidays and year-end and New Year holidays)

Policy for customer-oriented business operation

Under the basic philosophy of "supplying sustainable energy and creating a future where people can live full of life," the Company provides a one-stop service for overall operations, from finding a project related to renewable energy generation equipment, etc. through the development, management and operation of such project. The Company is also engaged in the securitization of interests of contributors to an anonymous partnership related to a fund that invests mainly in solar power plants, the arrangement of mainly solar power funds, and the solicitation of investors for the acquisition of interests in a collective investment scheme.
Under these circumstances, the Company as a Type II financial instruments business operator handles the private placement of interests in a collective investment scheme, performs intermediary services for sales and purchases, conducts sales and purchases, and provides investment advisory services, and thereby provides its customers (hereinafter referred to as "Customers") with financial services from Customers' point of view.
To enhance and ensure these activities, the Company has adopted the Principles for Customer-oriented Business Conduct published by the Financial Services Agency on March 30, 2017. To achieve Customer-oriented business operation, the Company has also prepared the following policy.

Policy 1: Pursuing the best interests of Customers

Placing the utmost priority on Customers' interests, the Company will maintain high expertise and professional ethics, and provide services to Customers sincerely and fairly. The Company will also establish an organizational culture that promotes such business management and develop a system therefor.

Policy 2: Appropriate management of conflicts of interest

The Company will establish a strict conflict of interest management system to ensure that Customers' interests are not unfairly infringed. The Company will also acquire accurate information on transactions that may cause a conflict of interest between Customers and the Company and manage and operate them appropriately.

Policy 3: Clarification of fees, etc.

The Company will actively provide Customers with information and careful explanation on fees and other expenses that should be paid by Customers in association with the provision of information, including what service the relevant fees is paid for, in order to ensure that Customers fully understand these matters.

Policy 4: Provision of important information in an easy-to-understand way

The Company will sincerely provide important information related to financial instruments such as the risk and return of financial instruments recommended to Customers, terms and conditions, and the details of conflicts of interest, if any, in a way that is clear, plain and not misleading to Customers.

Policy 5: Provision of services appropriate to Customers

The Company recommends financial instruments mainly to Customers who are professional investors with abundant investment experience. In this service, the Company will communicate with Customers to understand their needs accurately and recommend financial instruments according to the needs of Customers.

Policy 6: Appropriate system for motivating employees, etc.

The Company will ensure that all of its officers and employees provide services while placing the utmost priority on the interests of Customers, and develop a personnel evaluation system, employee training programs, and other appropriate systems to motivate employees to act for the interests of Customers as well as an appropriate governance system.