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.