Policies regarding the solicitation of sales of financial products
- As a securities wholesaler, our Company is committed to providing clients with the latest financial technologies and the best services to live up to their high expectations and trust.
- Utilizing our global network, including overseas subsidiaries, we will endeavor to solicit sales during an appropriate time frame in accordance with the transactions needs of our clients.
- In soliciting sales of financial products, we will take into consideraiton clients' knowledge of securities transactions and their investment experience, goals, and resources to propose sales of financial products that match clients' intentions and conditions.
- To ensure that transactions can be conducted based on clients' own decisions and responsibility, we will endeavor to provide clients with adequate infomation for understanding the nature of the financial products and the risks.
- Always giving top priority to maintaining clients' trust, we will observe all laws and regulations and will strengthen our internal controls system to ensure that sales solicitations are conducted properly.
