Solicitation Policy

Nomura Asset Management Co., Ltd. has adopted the following solicitation policy as specified in Article 9 of the Act on Sales, etc. of Financial Instruments and performs solicitation of discretionary investment contracts, investment advisory contracts, and investment trusts in accordance with this policy.

1. Matters that should be considered in light of the knowledge, experience, and financial standing of individuals subject to solicitations and the objectives of concluding agreements for the sale of financial products

  • Nomura Asset Management Co., Ltd. shall solicit investments appropriate for the customer's intentions and circumstances based on an adequate understanding of the customer's investment objectives, asset status, and other factors and shall recommend discretionary investment contracts, investment advisory contracts, and investment trusts that it believes are appropriate in light of the customer's knowledge, experience, financial standing, and investment objectives.
  • When soliciting discretionary investment contracts, investment advisory contracts, and investment trusts, Nomura Asset Management Co., Ltd. shall provide appropriate explanations of products and their risks using such methods and to the extent necessary to gain the customer's understanding in light of the customer's knowledge, experience, financial standing, and investment objectives.

2. Matters that should be considered regarding persons subject to solicitations with respect to solicitation methods and times

  • When performing solicitations, Nomura Asset Management Co., Ltd. shall place primary importance on gaining the trust of customers and shall perform all customer solicitations in accordance with applicable law and regulations while striving to conduct solicitations that place primary importance on customers based on reasonable grounds.
  • When Nomura Asset Management Co., Ltd. makes solicitations by telephone or in person, it shall do so at appropriate times, taking into consideration the customer's circumstances. If any inconvenience is caused to a customer through such solicitations, the customer may contact Nomura Asset Management Co., Ltd. at the phone numbers indicated below.

3. Other matters concerning the appropriateness of solicitations

  • Nomura Asset Management Co., Ltd. complies with the Financial Instruments and Exchange Act, other laws and regulations such as the Act on Investment Trusts and Investment Corporations, and the regulations of the Investment Trusts Association, Japan and the Japan Investment Advisers Association and takes measures to reinforce its internal control system to ensure that all solicitation activity is appropriate.
  • Nomura Asset Management Co., Ltd. shall strive to provide appropriate information so customers can conduct transactions in accordance with their own decisions and under their own responsibility.
  • Nomura Asset Management Co., Ltd. officers and employees shall constantly strive to acquire and enhance the knowledge and skills necessary to prevent any betrayal of the confidence and trust of its customers.
  • Nomura Asset Management Co., Ltd. conducts adequate internal training of its officers and employees to ensure that no inappropriate solicitation takes place. Customers may direct any concerns they have to Nomura Asset Management Co., Ltd. at the phone numbers indicated below.

Contact Information

  • For inquiries concerning investment trusts:
    Support Desk
    Tel: 0120-753104
  • For inquiries concerning investment advisory services:
    Institutional Business Planning Department
    Tel: 03-3241-9858

April 2015

Nomura Asset Management Co., Ltd.