Solicitation Policy Concerning Sales of Financial Products
Julius Baer Nomura Wealth Management Ltd.
With regard to the sales of financial products, we hereby make the appropriate solicitation in accordance with the following policies:
- We will make best efforts to solicit the services to the customers matched with the customer's intention and actual circumstances, taking the customer’s investment purpose, knowledge, experience, and financial status.
- We will make best efforts to ensure the customer has a sufficient understanding of the characteristics of the services and the underlying risks by the provision and explanation of appropriate information in light of the customer’s investment purpose, knowledge, experience, and financial status.
- We will never conduct the following actions: solicitation to the customers by decisive judgment, the provision of a falsified statement, give a misleading explanation.
- In order not to cause any inconveniences to the customers, we will give careful consideration to the timing, location, and method of the solicitation.
- We will endeavor to provide employees with the appropriate training to ensure proper solicitation to customers.
- We will take the appropriate measures in response to customer inquiries concerning sales and solicitation.