Legal

Disclosure Matters Regarding Financial Instruments Intermediary Business

The following are matters that financial instruments intermediaries should clearly indicate to customers in accordance with Article 66-11 of the Financial Instruments and Exchange Law. We ask that you fully understand the following information before conducting transactions with us.

1. About us (financial instruments intermediary)
Name of the financial instruments intermediary: Astris Advisory Japan K.K.
Registration No.: Director-General of the Kanto Local Finance Bureau (Kinchu) No. 974
Customer Complaint Desk: Internal Control Manager Tel: 03-6868-8762

2. Affiliate Financial Instruments Business Operator
Tachibana Securities Ltd. Financial Instruments Business Operator: Director-General of the Kanto Local Finance Bureau (Kinsho) No. 110 
Memberships: Japan Securities Dealers Association; Financial Futures Association of Japan

3. Regarding Financial Instruments Business Operators who will be the counterparty for the transactions
The client will be informed of the affiliated Financial Instruments Business Operator, etc., who will be the counterparty of the transaction when we introduce the product and transaction.  

4. Power of Attorney
We do not have the authority to represent the affiliated Financial Instruments Business Operator.

5. Prohibition of Deposit of Cash or Securities
Regardless of the pretext, we do not accept deposits of cash or securities from customers in connection with our Financial Instruments Intermediary Business. 

6. Commissions
The fee or commission paid by the customer for the transaction that the customer intends to execute may differ depending on the affiliated Financial Instruments Business Operator, etc. In addition, we do not receive cash such as commissions directly from customers because we receive remuneration from affiliated Financial Instruments Business Operators.

Basic Policy on Anti-Social Forces

We declare the following basic policy in order to prevent damages caused by groups or individuals, so-called “Anti-Social Forces, that pursue economic benefit by making full use of violence, force and fraudulent means. 

1. We fully recognize that not being involved with anti-social forces is part of social responsibility of corporations and all our executives and employees resolutely work toward not having any relations with Anti-Social Forces. 
2. Work with specialized agencies such as police office and attorney and handle properly in an organized way in order to prevent damages caused by Anti-Social Forces. 
3. Never accept undue demands by Anti-Social Forces and resolutely deal with it according to law. 
4. Do not give benefits, funding and engage in backdoor deal with Anti-Social Forces. 
5. Legal measures will be taken from both civil and criminal aspects for unreasonable demands by Anti-Social Forces and related parties.