Consultation and Complaint About Financial Instrument Transactions

HomeConsultation and Complaint About Financial Instrument Transactions

We will endeavor to sincerely and promptly respond to consultations and complaints from our customers and provide extensive explanations. In doing so, we will respond in the following for extra-judicial acts (financial dispute resolution system) stipulated in Article 37-7 of the Financial Instruments and Exchange Act.

Consultations and Complaints Contact for Customers

Contact: Compliance Office
Address: Shimbashi SY Bldg. 9F, 1-14-2 Nishishimbashi, Minato-ku, Tokyo 105-0003, Japan
Phone: +81-3-3503-0100
Hours: Monday through Friday from 10:00 AM to 5:00 PM (excluding holidays)

Complaint Processing Measures and Dispute Resolution Measures concerning Business of Financial Instruments Business, etc.

Type II Financial Instruments Firms Association and Japan Investment Advisors Association, of which we are a member, aims to resolve complaints and disputes related to financial instruments business using a mediation procedure.
Please note that, Type II Financial Instruments Firms Association and Japan Investment Advisors Association entrust Financial Instruments Mediation Assistance Center (FINMAC) to mediate consultations and complaints received from customers relating to the financial instruments businesses conducted by their members. Accordingly, please contact the following consultation center.
After the customer requests mediation for the purpose of resolving complaint or dispute to FINMAC and we receive notice, we will endeavor to resolve disputes in accordance with the provisions of FINMAC.

Consultations, Complaints, and Submissions Contact for Customers

Name: Financial Instruments Mediation Assistance Center (FINMAC)
Phone: 0120-64-5005
Hours: Monday through Friday from 9:00 AM to 5:00 PM (excluding holidays)

Securities and Exchange Surveillance Commission Information Gathering Window