Processing of Complaints about Financial Instruments Transaction Services

Processing Complaints and Resolving Disputes under the provisions of Financial Instruments and Exchange Act

In each category of service that we are registered to offer, Heiwa Real Estate takes the following measures to process complaints and resolve disputes as prescribed by the provisions of Financial Instruments and Exchange Act.

(1) Investment Advisory and Agency Services

We process complaints and resolve disputes related to financial instruments transaction services through complaint resolution or mediation by the Japan Investment Advisers Association under the provisions of Financial Instruments and Exchange Act.

(2) Type II Financial Instruments Transaction Services

We process complaints and resolve disputes related to financial instruments transaction services through complaint resolution or mediation by the Financial Instruments Mediation Assistance Center under the provisions of Financial Instruments and Exchange Act.

The Japan Investment Advisers Association outsources processing of complaints by investors about financial instruments transaction services offered by Association members, and mediation of any disputes that may arise as a result, to the Financial Instruments Mediation Assistance Center. For both (1) and (2) above, therefore, the contact point is as follows:

Financial Instruments Mediation Assistance Center (FINMAC)

Tel: 0120-64-5005 (toll-free from anywhere in Japan)
Hours: 9 a.m.-5 p.m. Monday-Friday (except statutory and other holidays)

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