1. Nikko Asset Management's Complaint Handling

  1. Nikko Asset Management upholds its “Regulations Concerning the Handling of Complaints and Disputes” by responding quickly and appropriately to customer complaints so that customers may gain an understanding of the situation.

    Nikko Asset Management provides points of contact for complaints and other issues as below:

    1. For investment trusts launched and managed by Nikko Asset Management: 0120-25-1404 (toll free)
    2. For discretionary investment agreements and non-discretionary investment advisory agreements: 03-6447-6515
    3. For direct sales of Nikko Asset Management investment trusts: 03-6447-6222
    4. For solicitations of ETFs and foreign investment trusts: 0120-25-1404 (toll free)

    (Open weekdays between 09:00-17:00; not open weekends and public holidays.)

  2. Nikko Asset Management also resolves complaints through the organization listed below. The organization is entrusted with complaint resolution operations by the Investment Trusts Association, Japan (03-5614-8440; [A] and [C] above) and the Japan Investment Advisers Association (03-3663-0505; [B] above), which Nikko Asset Management is a member of. Nikko Asset Management also handles complaints as a designated dispute resolution organization that concludes basic contracts for the implementation of procedures regarding specified type I financial instruments businesses ([D] above). The organization's contact information is as below:

    Financial Instruments Mediation Assistance Center
    Address: 103-0025 2-1-13 Nihombashi-kayabacho, Chuo-ku, Tokyo
    Phone: 0120-64-5005 (toll free) (Open weekdays between 09:00-17:00; not open weekends and public holidays.)

    The standard process for resolving complaints at the center is as below. Contact the center for further details.

    1. Customer makes a complaint.
    2. Complaint towards member firm is mediated.
    3. Issue is discussed with customer and member firm, and then resolved.

2. Nikko Asset Management's Dispute Resolution

Nikko Asset Management resolves disputes via mediation performed by the Financial Instruments Mediation Assistance Center. The center is entrusted with mediation operations by the Investment Trusts Association, Japan and the Japan Investment Advisers Association, which Nikko Asset Management is a member of, and handles mediation as a designated dispute resolution organization that concludes basic contracts for the implementation of procedures regarding specified type I financial instruments businesses with mediation officers. Use the contact information above to resolve disputes with Nikko Asset Management through the center.

The standard process for mediation at the center is as below. Contact the center for further details.

  1. Customer submits a mediation request form.
  2. Mediation request form accepted and mediation officer selected.
  3. Customer pays mediation request fee.
  4. Mediation officer holds hearings with customer and member firm.
  5. Mediation procedures proposed and accepted.