Solicitation Policy

Hikari Tsushin Investment Advisors, Inc. adheres to the following solicitation policy for clients
     
  1. Matters Concerning Proper Solicitation
  1. We will endeavor to provide investment advice on financial instruments that is appropriate to the client's knowledge, investment experience, financial situation and investment objectives.
  2. We will endeavor to provide explanations so that our clients can fully and accurately understand important matters such as the contents of the relevant products and risks.
  3. We will give due consideration to the time, place, and method of solicitation so as not to inconvenience our customers.
  1. Matters Relating to Ensuring Appropriateness of Solicitation
 
  1. We will comply with the Financial Instruments and Exchange Law and other relevant laws, regulations, and rules in order to provide appropriate solicitation to our clients.
  2. In order to provide appropriate solicitation to customers, we will strive to strengthen our internal control system and conduct sound business operations.
  3. We will strive to acquire and improve our knowledge in order to provide appropriate solicitation to our customers.
  4. We will strive to respond to customer inquiries promptly and appropriately.