Solicitation Policy

UBS Securities Japan Co., Ltd.

1.Matters that should be considered in light of knowledge, experience and asset condition of customers to be solicited

  • We attempt to conduct investment solicitations matching intentions and actual circumstances of customers fully considering investment experiences, investment purposes, financial conditions etc. of customers.
  • We recommend products to be suitable in light of knowledge, experiences and asset conditions of customers.
  • We , in recommendation of our products, attempt to properly explain details of procedures or contents of risks etc. in light of knowledge, experiences etc.

2. Matters that should be considered with regard to the methods and hours of solicitation of customers

  • We will, in solicitation, primarily secure confidence of customers any time, comply with laws and regulations and devote ourselves into investment solicitation making the principle to satisfy customers.
  • We attempt to avoid hours causing customers trouble and based on reasonable basis, not to mention compliance with laws and regulations

3. Others matters which aim to ensure the appropriateness of solicitations

  • We attempt to enhance the internal management system so as to comply with the Financial Instruments & Exchange Law and relevant laws etc. and conduct appropriate solicitations.
  • We attempt to supply adequate information so that trades may be implemented under decision and responsibilities of customers.