© 2016 by Tokyo Trust Capital Co., LTD.

Measures for Handling Complaints and Dispute Resolution about Financial Instruments Business

 

1.  Inquiry Desk

     Our company will endeavor to handle complaints and consultations from our clients in an appropriate and prompt manner

     based on our internal rules.

 

     Compliance Department

     Tokyo Trust Capital Co., Ltd.

     Toranomon 2-chome Tower 10F, 2-3-17 Toranomon, Minato-ku, Tokyo 105-0001

     Phone: +81-3-6550-9840

                  (Monday through Friday 10:00 – 17:00 excluding holidays)

 

 

2.  Complaints Processing and Dispute Resolution Measures regarding the Financial Instruments Business

     Our company has taken the following measures regarding complaints processing and dispute resolution as provided

     separately for each type of business for which our company has been registered.

 

     (1) Type II Financial Instruments Business

          Our company will work for resolution of complaints and disputes related to Type II Financial Instruments Business

          through the complaint resolution procedure and mediation by the Financial Instruments Mediation Assistance Center

          (FINMAC, a specified non-profit organization).

 

     (2) Investment Advisory and Agency Business

          Our company will work for resolution of complaints and disputes related to Investment Advisory and Agency Business

          through the complaint resolution procedure and mediation by the Japan Investment Advisers Association.  The Japan

          Investment Advisers Association consign complaint resolution and mediation to the Financial Instruments Mediation

          Assistance Center (FINMAC, a specified non-profit organization).

 

     The contact number for both above mentioned (1) and (2) is as follows.

 

     Financial Instruments Mediation Assistance Center(FINMAC, a specified non-profit organization)

     2-1-13 Nihombashi-Kayabacho, Chuo-ku, Tokyo 103-0025

     Phone: 0120-64-5005 (Toll-Free)

                 (Monday through Friday 9:00 – 17:00 excluding holidays)