Solicitation Policy


 

Akebono Asset Management Ltd. (“Akebono”) sets out our “Solicitation Policy” under Article 9 of “Act on Sales of Fiancial Products” as below, to solicit engagement of Type 2 Financial Instrument Dealers business, discretionary investment management agreement and investment advisory / agency agreement in accordance with this Solicitation Policy.

 

  1. Matters to consider in light of knowledge, experiences, assets with the solicitee and purpose of engaging the agreement
    • Akebono endeavors to solicit suitable contacts with our clients’ intention and current conditions upon well recognising the circumstances with our clients, such as knowledge, experiences, assets and purpose of investment. Akebono also endeavors to explain the detail of contracts and risks properly, considering the necessary means and degrees to be understood by our clients, in light of circumstances with our clients.

     
     

  2. Matters to consider regarding means and timing of solicitation to the clients
    • At solicitation, Akebono’s first priority is to ensure trust from our clients. Akebono endeavors to solicit rational basis and complying with laws and reglations.
    • Akebono considers circumstances with our clients to find proper timing for solicitation by telephone and/or visit.

     

  3. Other Matters to secure proper solicitation
    • Akebono endeavors to enhance internal management system for proper solicitation, in line with Financial Instruments and Exchange Act and its related laws and regulations as well as rules of Japan Investment Advisors Association and Type II Financial Instruments Firms Association.
    • Akebono endeavor to provide proper information to assist our clients for decision and responsibility to deal.
    • Officers and employees of Akebono endeavor to keep learning new knowledge and trained, to meet trust and expectation from our clients.

     

February, 2018
Akebono Asset Management Ltd.