Liberta Investment Partners Co., Ltd. has established the following “Solicitation Policy” under Article 10 of the “Act on Provision of Financial Services” and will solicit investments and sell financial products in accordance with
this Solicitation Policy.
Solicitation Policy
(1) Matters to be considered in light of the knowledge, experience, and financial condition of the person to be solicited and the purpose of concluding a contract for the sale of such financial instruments
・We will endeavor to solicit investments and sell financial products that suit our customers’ intentions and actual conditions, based on a thorough understanding of our customers’ investment experience, investment objectives, financial
resources, and other relevant factors.
・We will recommend products that we consider appropriate in light of our clients’ knowledge, experience, and financial situation.
・In recommending financial products, etc., we will endeavor to provide appropriate explanations of product details and risks, taking into consideration the methods necessary for customers to understand them in light of their knowledge,
experience, asset conditions, investment objectives, etc. .
(2) Matters to be considered for persons to be solicited with respect to solicitation methods and time frames
・In solicitation and sales, we shall always place the utmost priority on securing customers’ trust, comply with laws, regulations, and rules, and devote ourselves to customer-oriented solicitation for investment and sales of financial
products.
・We will endeavor to conduct solicitation and sales based on reasonable grounds.
・We will not solicit or sell by telephone or door-to-door during hours that may cause inconvenience to customers. If you are inconvenienced by any solicitation or sales, please inform the person in charge.
Other matters to ensure the suitability of solicitation
・We will provide sufficient in-house training to our officers and employees to prevent inappropriate solicitation and sales.
・We will strive to constantly acquire and improve the knowledge and skills of our officers and employees so as not to betray the trust and expectations of our customers.
・We shall comply with the Financial Instruments and Exchange Law and other laws and regulations, as well as the rules and regulations of the Japan Investment Advisers Association and Type II Financial Instruments Business Association,
and shall strive to strengthen our internal control system to ensure appropriate solicitation and sales.
・We will strive to provide appropriate information to our customers so that they can conduct transactions based on their own judgment and responsibility.
-If you have any questions or concerns about our solicitation of customers, please contact us at the following address.
Inquiries to: Liberta Investment Partners Co., Ltd.
Mail: compliance@liberta-ip.co.jp
