Solicitation Policy

UBS AG, Tokyo Branch

1.Matters to be considered in relation to a customer when soliciting business

  • The Bank will endeavour to perform a thorough review of a customer’s financial circumstances including past investment experience, purpose of investment and risk appetite.
  • The Bank will recommend to customers only those products which it considers are suitable for a customer given his/her financial circumstances, knowledge, experience and purpose of investment.
  • The Bank will endeavour to provide an adequate explanation as to the contents and the potential risks of any products which it recommends, in accordance with his/her knowledge, financial circumstances, and purpose of investment, by necessary method and measure for his/her understanding.

2. Matters concerning the methods and hours in relation to solicitation

  • The bank will endeavour to provide a high standard of service to its customers, designed to meet the needs of the customers in a professional manner.
  • The Bank will endeavour to ensure that when soliciting for business it complies with all appropriate laws and regulations.
  • The Bank endeavors to solicit customers under rational ground, by avoiding soliciting in their inconvenient time slot.

3. Other matters regarding appropriateness of solicitations

  • The Bank has drawn the attention of the LSFP and the Policy to its employees in order to avoid inappropriate solicitations.
  • The Bank will continue to enhance its internal management systems in accordance with applicable laws, regulations and guidelines.