Solicitation policy pertaining to the Act on the Provision of Financial Services

Based on the “Act on the Provision of Financial Services” (Act No. 101 of 2000), we have established the following policy for soliciting financial products and will sell them appropriately to customers.

1. Matters to be considered of the knowledge, experience, property status of the person to be solicited and the purpose of concluding a contract relating to the sale of a financial product

(1) We will aim to understand the customer’s knowledge, investment experience, property status, purpose of concluding a contract related to the sale of the financial product, etc., and recommend a suitable financial product to the customer.

(2) We will aim to provide sufficient and accurate understanding of important matters such as product content and risk content so that customers can make appropriate investment decisions.

2. Matters to be considered regarding the method and time for those who are the target of solicitation

(1) In soliciting, we will always place the highest priority on ensuring the trust of our customers, comply with laws and regulations, and devote ourselves to customer-oriented investment solicitation.

(2) The Company shall aim to solicit based on reasonable grounds as well as complying with laws and regulations.

(3) We will give due consideration to the time and method of solicitation so as not to inconvenience our customers.

3. Matters concerning to ensure the appropriateness of solicitation

(1) Our officers and employees will always strive to acquire knowledge and skills so as not to disappoint the trust and expectations of our customers.

(2) The Company will comply with laws and regulations such as the Financial Instruments and Exchange Act and the rules of self-regulatory organizations, and will aim to strengthen its internal control system so that appropriate solicitations can be made.

(3) If you have any questions about your transaction, please contact the transaction department.

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