| 1. |
We endeavor to solicit each of our customers for investments that are appropriate for their individual intentions and situation, after fully comprehending their investment experience, investment objectives, investment needs and financial status. |
| 2. |
We endeavor to select products that we believe are appropriate for our customers in light of their investment objectives, expertise, and experience as well as to provide our clients with guidance concerning these products. |
| 3. |
When providing product guidance to our customers, we endeavor to provide explanations-encompassing information about risk characteristics-of these products that are suitable in light of the customer's expertise and experience. |
| 4. |
We expect to earn the trust of our customers by observing applicable laws and regulations. We also seek to solicit customers based on what is reasonable for our customers themselves. |
| 5. |
We are careful not to solicit customers during time frames that may be inconvenient for them. We ask our customers to notify the responsible individual whenever they feel that they have been inconvenienced. |
| 6. |
The officers and employees of Japan Alternative Investment will continuously hone their abilities so that they can provide accurate and readily understandable explanations. This allows our customers to execute transactions after obtaining a complete understanding of the nature of the product. |
| 7. |
We will continuously strengthen our internal control structure to ensure that we are in compliance with the Financial Instruments and Exchange Act and other applicable laws, and that we solicit customers in an appropriate manner. |
| 8. |
We shall provide our customers with the information that is adequate for them to assume a responsibility of engaging in transactions based upon their own judgment. |
