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Compliance
Complaints and Other Actions Concerning the Financial Instruments Business
1. Complaints Handling Desk
The Company has established “Complaint Handling Regulations” for handling complaints, etc. related to the financial instruments business, and is committed to responding appropriately and promptly to complaints and requests for consultation from customers, etc., and to gaining their understanding.
Contact for complaints, etc.
Compliance Department, Tokyo Trust Capital Co., Ltd.
Address: Toranomon Seiwa Building 5F, 1-2-3 Toranomon, Minato-ku, Tokyo 105-0001
Telephone number: 03-6550-9840
Hours: 10:00 - 17:00 (excluding Saturdays, Sundays, holidays, etc.)
2. Use of External Organizations for Complaint and Dispute Resolution
The following organizations, of which the Company is a member, are available to handle complaints and resolve disputes.
(1) Type II Financial Instruments Business
The Company has established the Mediation Assistance Center for Securities and Financial Instruments (hereinafter referred to as “Mediation Assistance Center”), a non-profit organization, to handle complaints and disputes. (*) The Company will resolve complaints and disputes through the use of the Securities and Financial Instruments Mediation Assistance Center (hereinafter referred to as “Mediation Assistance Center”).
(*) The Type II Financial Instruments Dealers Association, of which the Company is a member, commissions the Mediation Assistance Center to assist in the resolution of complaints and disputes.
(2) Investment Management Business and Investment Advisory and Agency Business
Complaints and disputes concerning the investment management business and investment advisory and agency business conducted by the Company shall be resolved through the Japan Investment Advisers Association, of which the Company is a member.
The Japan Investment Advisers Association has entrusted its Mediation Center with the handling of complaints and mediation services concerning its members.
The Japan Investment Advisers Association entrusts the handling of complaints and mediation services to the Mediation and Consultation Center.
(1) and (2) above will be as follows:
Name: Financial Instruments Mediation Assistance Center (FINMAC)
Address: 2-1-13 Kayabacho, Nihonbashi, Chuo-ku, Tokyo 103-0025
Phone: 0120-64-5005 (toll-free: nationwide)
Hours: Monday-Friday (except national holidays) 9:00-17:00
Privacy Policy
1. Basic Policy
Tokyo Trust Capital Co., Ltd (hereinafter referred to as “the Company”) recognizes the importance of protecting personal information, complies with the Act on the Protection of Personal Information and other laws and guidelines regarding the protection of personal information, and strives to handle and protect personal information in an appropriate manner. In addition, we have established internal rules for the protection of personal information (hereinafter referred to as “our rules”), which we implement, maintain, and strive to continually improve.
2. Purpose of use of personal information
When we ask our customers to provide us with personal information, we will clearly state in advance the purpose for which the personal information will be used, and use the information within the scope of the stated purpose of use. The purposes of use of personal information held by the Company are as follows:
(1) To perform administrative work related to investment advisory and agency agreements, discretionary investment agreements, brokerage of sales and purchases of trust beneficiary interests, and agreements for private placements with clients.
(2) To provide services related to investment advisory and agency agreements, discretionary investment agreements, brokerage of sales and purchases of trust beneficiary interests, etc., and handling of private placements, etc. with clients.
(3) To perform administrative work related to contracts, etc., with customers concerning the building lots and buildings transaction business
(4) To provide residential land and building transaction services, etc. with customers
(5) To exercise rights and perform obligations based on contracts and laws and regulations with customers
(6) To manage our business partners
(7) To record visitors to the Company
(8) For recruiting our directors, officers, and employees
(9) To manage our company's officers and employees
(10) To manage our shareholders
(11) To respond to inquiries and consultations
(12) To develop services, conduct questionnaires, market research, etc.
(13) To provide information to third parties to the extent necessary to comply with laws and regulations and to perform our business appropriately
(14) To perform our other business operations in an appropriate and smooth manner.
3. Proper acquisition of personal information
We will acquire personal information in a lawful and fair manner.
4. Provision of Personal Information to Third Parties
We will not disclose or provide customers' personal information to third parties except in the following cases:
(1) When the customer has given consent
(2) When the purpose of use of the information is to provide it to a third party
(3) When personal information is used jointly with a specific party
(4) When required by law
(5) When it is necessary for the protection of a person's life, body, or property and it is difficult to obtain the customer's consent
(6) When entrusting the handling of personal information within the scope necessary to achieve the purpose of use
(7) When the business is succeeded due to a merger, corporate separation, transfer of business, or other reasons
(8) When providing personal information to a third party in a manner that does not allow a specific individual to be identified
(9) When cooperating with an inquiry or investigation by the tax office, the police, a court of law, or any other external organization.
5. Security control of personal information
We will take necessary and appropriate measures to prevent leakage or loss of personal information and to ensure the accuracy and security of personal information.
We will take necessary and appropriate measures to prevent leakage or loss of personal information and to ensure accuracy and safety.
6. Disclosure, Correction, Suspension of Use, etc. of Personal Information
If a customer requests disclosure, correction, suspension of use, deletion, etc., of his/her personal information, we will respond without delay in accordance with laws and regulations.
We will respond to such requests without delay in accordance with laws and regulations. 7.
7. Compliance and Review of Laws and Regulations
The Company will comply with Japanese laws and regulations applicable to personal information held by the Company, and will review and improve the contents of this policy as appropriate.
We will also review and improve the contents of this policy as appropriate.
8. Contact Information for Personal Information
For inquiries regarding our handling of personal information, please contact the following:
Compliance Department, Tokyo Trust Capital Co., Ltd.
Address: Toranomon Seiwa Building 5F, 1-2-3 Toranomon, Minato-ku, Tokyo 105-0001
Telephone number: 03-6550-9840
Hours: 10:00 - 17:00 (excluding Saturdays, Sundays, holidays, etc.)
Basic Policy against Anti-Social Forces
Based on the “Guidelines for the Prevention of Damage Caused by Antisocial Forces (Government Policy)” and the “Comprehensive Supervisory Guidelines for Financial Instruments Businesses”, we have established the following “Basic Policy against Anti-Social Forces”.
(1) The Company shall take action against antisocial forces as an organization.
(2) The Company will work with external specialized organizations in dealing with antisocial forces.
(3) The Company shall not engage in any relationship with antisocial forces.
(4) In the event of an emergency, we will take legal action, both civil and criminal.
(5) We will not engage in any transactions or provide funds to antisocial forces.
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