FGI - FinTech Global Incorporated

Solicitation Policy Regarding Financial Instrument Business

Basic stance on client solicitation

We will endeavor to provide appropriate invitations and explanations of financial products taking generally into account such factors as client knowledge, experience, financial situation and investment objectives, that is, the purpose for entering into an agreement for the sale of the associated financial products.

Methods and timeframes for client solicitation

  • We will take sufficient care with respect to the timing, place and method of solicitation so as not to inconvenience our clients.
  • We will pursue solicitation when and where and by approaches that suit our clients.

Ensuring appropriate solicitation

  • We will provide accurate information so as not to mislead clients.
  • We will ensure clients have an accurate understanding of important information regarding the Law on Sales of Financial Products.
  • We will strive to provide full and accurate explanations about each product and the attendant risks, so that each client can reach an informed decision according to his or her own judgment.
  • When conducting solicitation activities and providing information, we will always act in the best interests of the client and abide by related laws and regulations.
  • We will endeavor to improve internal structures and in-house training to ensure that we conduct solicitation activities in an appropriate manner.

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