Solicitation Policies
Show content of Deutsche Securities Inc.
Deutsche Securities Inc.
Deutsche Securities Inc. will endeavor to protect the best interests of our customers and will conduct the solicitation and sale of financial products in compliance with the following principles:
- Provide our customers with appropriate information and explanation of financial products in light of their investment objectives, knowledge, experience, and financial conditions;
- Explain in an appropriate manner, the merits, risks and fees associated with financial products and services;
- Not to make uninvited visits or phone calls during inappropriate hours such as late night and early morning hours;
- Conduct the solicitation and sale of financial products in a fair and appropriate manner, and not conduct any troublesome solicitation, including making categorical decisions, misrepresentations, and misleading explanations;
- Clearly disclose conflicts of interests with customers;
- Strive to improve our staff training and internal control structure with a view to enhancing staff knowledge of financial products and methods of explanation.
Show content of Deutsche Bank AG, Tokyo Branch
Deutsche Bank AG, Tokyo Branch
Deutsche Bank AG, Tokyo Branch will endeavor to protect the best interests of our customers and will conduct the solicitation and sale of financial products in compliance with the following principles:
- Provide our customers with appropriate information and explanation of financial products in light of their investment objectives, knowledge, experience, and financial conditions;
- Explain in an appropriate manner, the merits, risks and fees associated with financial products and services;
- Not to make uninvited visits or phone calls during inappropriate hours, such as late night and early morning;
- Conduct the solicitation and sale of financial products in a fair and appropriate manner, and not conduct any troublesome solicitation, including making categorical decisions, misrepresentations, and misleading explanations;
- Clearly disclose conflicts of interests with customers;
- Strive to improve our staff training and internal control structures with a view to enhancing staff knowledge of financial products and methods of explanation.
Show content of DWS Investments Japan Limited
DWS Investments Japan Limited
1. Items to be considered in light of the knowledge, experience, and asset status of potential customers
The Company possesses documents containing customers’ names, addresses, asset status, and investment experience and offers customers investment solicitation suitable to their intention and situation after having sufficiently examined their investment experience, investment purpose, and asset status.
The Company offers financial products deemed appropriate in light of the customer’s knowledge, experience, and asset status.
When the Company offers customers a financial product, the Company provides its complete description and properly explains product risks in light of the customer’s knowledge and experience.
The Company possesses documents containing customers’ names, addresses, asset status, and investment experience and offers customers investment solicitation suitable to their intention and situation after having sufficiently examined their investment experience, investment purpose, and asset status.
The Company offers financial products deemed appropriate in light of the customer’s knowledge, experience, and asset status.
When the Company offers customers a financial product, the Company provides its complete description and properly explains product risks in light of the customer’s knowledge and experience.
2. Items to be considered for customers who are solicited with respect to the method and time of solicitation
When soliciting, the Company believes the most important factor is always gaining the customer’s trust and will always be in compliance with applicable laws and regulations. The company will devote to placing the customer’s interests first.
The Company uses its best efforts to solicit customers on the basis of reasonable grounds as well as to comply with applicable laws and regulations.
The Company does not solicit by phone or visit during times when it may be inconvenient for customers. If you are inconvenienced by a solicitation, please inform this fact to the person in charge.
The Company will make its best efforts to ensure the contents of newspaper advertisements and homepage presentations are appropriate.
Business hours of the Company are from 8:45 to 17:30.
When soliciting, the Company believes the most important factor is always gaining the customer’s trust and will always be in compliance with applicable laws and regulations. The company will devote to placing the customer’s interests first.
The Company uses its best efforts to solicit customers on the basis of reasonable grounds as well as to comply with applicable laws and regulations.
The Company does not solicit by phone or visit during times when it may be inconvenient for customers. If you are inconvenienced by a solicitation, please inform this fact to the person in charge.
The Company will make its best efforts to ensure the contents of newspaper advertisements and homepage presentations are appropriate.
Business hours of the Company are from 8:45 to 17:30.
3. Other items in order to assure appropriate solicitation
The Company will make its best efforts to enhance its internal control system to encourage proper solicitation in compliance with applicable laws and regulations such as, the Financial Instruments and Exchange Law, the laws relating to Investment Trust Management and Investment Vehicles, and other relevant laws.
Officers and employees of the Company endeavor to acquire additional knowledge and skills, as well as review the requirements for maintaining the confidence and for meeting the expectations of customers.
The Company endeavors to provide the proper information to customers so that transactions can be carried out at the customer’s discretion and responsibility.
The Company conducts sufficient internal training of its officers and employees to prevent improper solicitations. If you have an opinion or wish to comment, please contact the relevant telephone number stated below.
The Company will make its best efforts to enhance its internal control system to encourage proper solicitation in compliance with applicable laws and regulations such as, the Financial Instruments and Exchange Law, the laws relating to Investment Trust Management and Investment Vehicles, and other relevant laws.
Officers and employees of the Company endeavor to acquire additional knowledge and skills, as well as review the requirements for maintaining the confidence and for meeting the expectations of customers.
The Company endeavors to provide the proper information to customers so that transactions can be carried out at the customer’s discretion and responsibility.
The Company conducts sufficient internal training of its officers and employees to prevent improper solicitations. If you have an opinion or wish to comment, please contact the relevant telephone number stated below.
If you have any questions regarding your transaction, please also contact the relevant number below.
Contact Numbers
- Regarding Investment Advisory, Discretionary Mandates, Intermediary services for entrustment of transactions and dealing of Private Placement:
Institutional Sales Department, 03-5156-5746 - Regarding Investment Trust Management:
Retail Sales Department, 03-5156-5247