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1. Japan
2. Solicitation Policy

Solicitation Policy

Legal & General Investment Management Japan Ltd. (hereinafter referred to as "the Company") hereby establishes its "Solicitation Policy" as stipulated under Article 10 of the Act on the Provision of Financial Services and the Improvement of the Environment for the Use of Financial Services, etc., as follows. Based on this Solicitation Policy, the Company shall conduct solicitation for discretionary investment management agreements, the mediation of the conclusion of discretionary investment management agreements with the Company's overseas affiliates, and the solicitation of foreign collective investment schemes for qualified institutional investors.

1.     Matters to be taken into consideration in light of the knowledge, experience and financial circumstances of the persons to whom solicitation is directed

  • The Company endeavours to solicit contracts that are appropriate for the client's knowledge, experience, financial circumstances, and the purpose of concluding the contract, after fully understanding the client's investment objectives, investment policy, asset situation, etc.
  • We shall endeavour to provide appropriate explanations regarding the investment content and risks, taking into account the client's knowledge, experience, etc.

2.     Matters to be considered regarding the method and timing of solicitation for the target of solicitation

  • The Company shall always prioritise securing the trust of its clients, comply with laws and regulations such as the Financial Instruments and Exchange Act, and the rules and regulations of the Japan Investment Advisers Association and the Japan Securities Dealers Association (hereinafter referred to as "Laws, Regulations, and Rules"), and endeavour to conduct client-oriented solicitation.
  • We shall conduct solicitation by telephone or visit at appropriate times, locations, and by appropriate methods, taking into account the circumstances of our clients.

3.     Other Matters Concerning Ensuring Appropriate Solicitation

  • The Company shall strive to strengthen its internal management systems and provide sufficient in-house training to its officers and employees to ensure compliance with laws, regulations, and rules, and that appropriate solicitation is conducted towards clients.
  • Our officers and employees shall constantly strive to acquire and refine their knowledge and skills so as not to betray our customers' trust.
  • We endeavour to provide appropriate information so that transactions are conducted based on the customer's own judgement and responsibility.

Should you have any concerns regarding our solicitation practices, please contact us at the address below.

Compliance Department

Telephone: 03-5532-1920 (Main Switchboard)