Complaint Handling and Dispute Settlement
- 1. The Company endeavors to respond to complaints and claims lodged by customers and other parties quickly and sincerely, seeking to earn customer understanding with the establishment of the Complaint Handling and Dispute Settlement Regulations.
- 2. In addition to endeavoring to settle complaints and disputes in the manner described in 1, the Company also seeks to settle complaints and disputes related to its investment advisory and agency business by using the organization stated in 3. Providing mediation for the settlement of complaints and disputes on behalf of the Japan Investment Advisers Association, of which the Company is a member, this organization accepts complaints from customers and its commissioners facilitate mediation procedures. If you elect to use this organization, please find the contact details in 3.
3. Name and contact information of the organizationFinancial Instruments Mediation Assistance CenterAddress: 1-13, Nihonbashi Kayabacho 2-chome, Chuo-ku, Tokyo 103-0025Tel: 0120-64-5005 (toll free)
(Mon. - Fri. / 9:00 - 17:00 excluding holidays, etc.)
Registration as Financial Instruments Business Operator and Other Items
- ■ Registration as Financial Product Business Operator KG Capital K.K., Director General of Kanto Local Finance Bureau (Kinsho) No. 2844
- ■ We conduct investment advisory and agency business.
- ■ Compensation such as the fees that the clients pay our company under the financial product transaction contract will be decided in a council, keeping the specific product, contract structure, and other details in consideration.
- ■ The securities, etc. that we advise (real estate trust beneficial rights, anonymous association equity interests and others) may incur losses as a result of fluctuations in prices, leasing performance, and other variables of the property in which we invest. Neither the principal investment nor investment return is guaranteed. The client shall bear the risk that the invested securities may fall below their value at the time of purchase.
- ■ Although we endeavor to ensure that our clients fully comprehend the content of all pre-contract documents delivered to clients ahead of time, we kindly ask our clients to thoroughly review the documents before you sign a financial product transaction contract with our company.
Notice Regarding the Application "Deadline" for the Professional Investor Status under the Financial Instruments and Exchange Law
The application "Deadline"* to change investor status to Professional Investor under the Financial Instruments and Exchange Law at our company is as follows:
Under the Financial Instruments and Exchange Law, clients are classified into two investor categories-"Professional Investor" and "Investor Other Than Professional Investor" (referred to as "General Investor" hereafter)-according to the type of contract. After the client undergoes the prescribed application process and is approved by our company, the client may be authorized to shift statuses from either "Professional Investor" to "General Investor" or from "General Investor" to "Professional Investor".
When a client has shifted status from "General Investor" to "Professional Investor," the final day of the validity of status will be the next coming "Deadline". Should clients wish to prolong their status as "Professional Investor," we kindly ask clients to apply for status renewal. If we do not receive an application of renewal by the "Deadline," your status will return to that of "General Investor."
In transactions between a financial instruments business operator and a "Professional Investor" client, the financial instruments business operator is exempted from a part of the restrictions and regulations such as the restriction of advertisement, the obligation of delivering documents in advance, and other obligations.