1. Name of Financial Services Provider
Tokyo Capital Management Co., Ltd.
2. Registration as Financial Services Provider and Registration Number
Financial Services Provider (Financial Instrument and Exchange Law) Number 1388, authorized by Kanto Local Finance Bureau (Investment Management Business,Ttype II Financial Instruments Business, Investment Advisory and Agency Business）
3. Financial Services Providers Industry Association Membership
Japan Investment Advisers Association
Type II Financial Instruments Firms Association
The conditions and calculation method for remuneration 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 tokumei kumiai (TK) for the real estate fund subject to investment. This remuneration is paid by the manager concerned. Remuneration for services is paid in stages: at the time of acquisition of financial instruments such as real estate trust beneficiary rights, during the fund asset management period, and at the time of sale.
5. Investment Risks
TK investment in real estate funds by the customer 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 in the TK) nor the distribution is guaranteed.
6. Regarding Past Asset Management Performance
Past asset management performance does not ensure future investment yield or results.
7. Conclusion of Contract
Prior 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 of Article 80 in the Cabinet Office Regulations.
Tokyo Capital Management (hereinafter referred to as The Company), as a financial services provider, has established the policy below regarding the solicitation of financial instruments. The Company shall abide by this Solicitation Policy as well as all related laws and regulations in conducting the sale and other trading of financial instruments in an appropriate manner.
- The Company shall take into consideration the customer’s knowledge, experience, investment aims, financial circumstances and other factors when recommending financial instruments to the customer, and shall provide appropriate financial instrument explanations.
- The Company shall not provide any information that may lead to erroneous judgment by the customer, including categorical judgments on or fallacious explanations of uncertain items.
- 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 customer and enable the customer to trade the financial instruments at his/her own discretion and responsibility.
- The Company shall not solicit at times or locations that are inconvenient to the customer.
- The Company shall address any complaints from the customer with integrity and make efforts to improve.
- The Company shall work to enhance the internal administration structure to ensure appropriate solicitation and explanations to the customer, 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.