Solicitation Policy

Ant Capital Partners Co., Ltd. (“Ant Capital”) adheres to the following guidelines and will solicit clients to buy financial instruments in an appropriate manner.

  1. Matters that should be considered in light of the knowledge, experience, and financial circumstances the individual solicited and his or her objectives in entering into an agreement for the sale of the financial instruments
    • Ant Capital will endeavor to solicit clients in a manner that is consistent with the customer’s intentions and circumstances, fully considering the customer’s knowledge of financial instruments, investing experience, financial circumstances, and investment objectives.
    • Ant Capital will endeavor to provide sufficient and appropriate information about financial instruments and risks in order that the client can make appropriate investment decisions.
  2. Matters to be considered for persons being solicited regarding the method and hours of solicitations
    • Ant Capital will not engage in inappropriate solicitation methods that could be misleading to clients, such as making declarations about matters that are uncertain or providing information that is incorrect.
    • Ant Capital will not solicit clients at inconvenient times or at locations that would be a nuisance to clients.
  3. Other matters to ensure appropriate solicitation
    • Ant Capital will comply with the Financial Instruments and Exchange Act, the Act on Sales, etc. of Financial Instruments, and other relevant laws and regulations, and we will endeavor to develop and strengthen our internal control systems and internal rules to ensure that our solicitation activities are conducted in an appropriate manner.
    • Ant Capital will endeavor to develop and enhance our internal education and training programs to ensure that we solicit clients in an appropriate manner.
    • Ant Capital will endeavor to impart knowledge and skills on our officers and employees to ensure that we keep the trust and meet the expectations of our clients.
    • Ant Capital will endeavor to respond promptly and appropriately to inquiries from our clients.

*This Solicitation Policy has been established pursuant to Article 9 of the Act on Sales, etc. of Financial Instruments.