Solicitation Policy

In soliciting its client to an investment advisory and agency contract, Alpaca observes Financial Instruments and Exchange Act of Japan (“FIEA”) and other related laws and regulations, and complies with the following policies.

  1. Alpaca makes appropriate explanation to our clients on our service contents, etc., comprehensively taking into consideration clients’ investment experience, knowledge, investment objective, condition of their property, etc.
  2. In providing our clients with solicitation, Alpaca always gives first priority to keeping our clients’ trust, observes related laws and regulations, and acts in a client-oriented way.
  3. Alpaca takes due care of time, place and manner of solicitation not to cause any problems to our clients.
  4. Alpaca makes efforts to reply promptly and properly to inquiries from our clients. Alpaca sincerely listens to our clients’ opinion and request, and tries to make continuous improvement.
  5. Alpaca pays attention to effective educational and training program for our employees to provide our clients with appropriate solicitation and advice.
  6. Alpaca observes the FIEA, and rules of the Japan Investment Advisers Association. Alpaca makes continuous effort to enhance our internal control system, which ensures our appropriate solicitation to our clients.