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Nikko Asset Management hereby sets forth its policy concerning soliciting activities in accordance with Article 10 of the Act on Provision of Financial Services* as follows:

  1. Nikko Asset Management, will try, taking the client’s knowledge, experience, status of assets, and the purpose for concluding the contract for the applicable financial product into consideration, to offer an appropriate explanation of the details of the product and its risks.
  2. We will carry out soliciting activities from the standpoint of the client placing greatest importance on gaining his or her confidence and complying with relevant laws and regulations.
  3. We will not carry out soliciting activities late at night, early in the morning or in other hours that will cause a nuisance to the client. We will stop soliciting activities immediately whenever we are so requested by the client because it is causing a nuisance to him or her.
  4. We will try to make an appropriate display in newspaper advertisements and website.
  5. We will conduct in-house training of sales personnel in product knowledge and presentation skill aiming to enhance their capabilities and meet the client’s trust and expectation.
  6. We will try to strengthen the internal control system in order to comply with the relevant laws and regulations as well as with the bylaws of the affiliate Financial Instruments Firms Association, and carry out soliciting activities in an appropriate manner.

*The legal name was changed on February 1, 2024, but the English notation has not been published by the FSA.