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Complaint Processing Measures and Dispute Resolution Measures Based on the Financial Instruments and Exchange Act

The Company will endeavor to sincerely and promptly deal with complaints from clients and to gain the understanding of clients.
In addition to endeavoring to resolve complaints, etc. based on various internal regulations, the Company will make efforts to resolve complaints and disputes through third parties in accordance with the type of business to which the Company is registered, as follows.

(1) Investment Management Business and Investment Advisory and Agency Business

Through the complaint processing procedures and arrangements of Japan Investment Advisers Association, which the Company is member to, the Company will make efforts to resolve complaints and disputes related to its investment management business as well as its investment advisory and agency business. Japan Investment Advisers Association entrusts business concerning resolution of complaints and arrangements to Non-Profit Organization, Financial Instruments Mediation Assistance Center.

(2) Type II Financial Instruments Business

Through the complaint processing procedures and arrangements by Non-Profit Organization, Financial Instruments Mediation Assistance Center, the Company will make efforts to resolve complaints and disputes related to type II financial instruments business.

Non-Profit Organization, Financial Instruments Mediation Assistance Center

Daisan Shoken Kaikan, 2-1-13, Kayaba-cho, Nihonbashi, Chuo-ku, Tokyo, 103-0025, Japan
Tel: 0120-64-5005 (Japan only)
(from Monday to Friday / 9:00 a.m. – 5:00 p.m. Closed on holidays, etc.)

Revised January 1, 2018
Mizuho Real Estate Management Co., Ltd.

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