Financial Instruments Trading
- 1.Name of Financial Instruments Trading CompanyTokyo Capital Management
- 2.Registration as Financial Instruments Trading Company and Registration NumberFinancial Instruments Trading Company (Financial Instrument and Exchange Law) Number 1388, authorized by Kanto Local Finance Bureau (investment management, type II financial instruments trading, investment advice and brokerage services）
- 3.Financial Instruments Trading Industry Association MembershipJapan Investment Advisers Association
- 4.FeesThe conditions and calculation method for reimbursement for real estate fund asset management undertaken by Tokyo Capital Management are determined separately for each contract in the investment advisory contract or discretionary investment contract concluded with the manager of the anonymous partnership for the real estate fund subject to investment. This reimbursement is paid by the manager concerned. Reimbursement for services is paid in stages: at the time of acquisition of investment securities such as real estate fund beneficiary rights, during the fund asset management period, and at the time of sale.
- 5.Investment RisksAnonymous partnership investment in real estate funds by the client includes the risk of incurrence of loss in the following areas: liquidity of investment real estate, rent levels, administrative and maintenance expenses, flaws/defects, loss related to rights and obligations, appraisal value, disasters such as accidents or earthquakes, laws, credit risk and/or the risk of losses resulting directly from fluctuations related to interest rates or other indices. Further, neither the investment principal (this refers to the transaction price of the amount invested by the anonymous partnership) nor the dividend are subject to guarantee.
- 6.Regarding Past Asset ManagementPast asset management results are not a guarantee of future investment yield or results.
- 7.Conclusion of ContractPrior to concluding a contract, please read carefully 'Documents Distributed Prior to Conclusion of Contract' stipulated in Section 3-1, Article 37 of the Financial Instrument and Exchange Law, and the details on contractual changes stipulated in Section 1, Number 4 ro of Article 80 in the Cabinet Office Regulations.
- 1.The Company shall take into consideration the client's knowledge, experience, investment aims, financial circumstances and other factors when recommending financial products to the client, and shall provide appropriate financial product explanations.
- 2.The Company shall not provide any information that may lead to erroneous judgment by the client, including categorical judgments on or fallacious explanations of uncertain items.
- 3.The Company shall use written documents or other media to provide satisfactory explanations of critical items including product details, characteristics and risks, to ensure understanding by the client and enable the client to trade the financial instruments at his/her own discretion and responsibility.
- 4.The Company shall not solicit at times or locations that are inconvenient to the client.
- 5.The Company shall address any complaints from the client with integrity and make efforts to improve.
- 6.The Company shall work to enhance the internal administration structure to ensure appropriate solicitation and explanations to the client, and shall implement internal company training and education sessions regarding compliance with laws and regulations. Please do not hesitate to contact the Company's inquiries desk (Compliance Office) with any complaints or requests regarding the Company's investment solicitation.