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.
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.
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.
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)
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.
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.
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.
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.
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.
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.
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.