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Solicitation Policy

DWS Investments Japan Limited

1. Items to be considered in light of the knowledge, experience, and asset status of potential customers

The Company possesses documents containing customers’ names, addresses, asset status, and investment experience and offers customers investment solicitation suitable to their intention and situation after having sufficiently examined their investment experience, investment purpose, and asset status.

The Company offers financial products deemed appropriate in light of the customer’s knowledge, experience, and asset status.

When the Company offers customers a financial product, the Company provides its complete description and properly explains product risks in light of the customer’s knowledge and experience.

2. Items to be considered for customers who are solicited with respect to the method and time of solicitation

When soliciting, the Company believes the most important factor is always gaining the customer’s trust and will always be in compliance with applicable laws and regulations. The company will devote to placing the customer’s interests first.

The Company uses its best efforts to solicit customers on the basis of reasonable grounds as well as to comply with applicable laws and regulations.

The Company does not solicit by phone or visit during times when it may be inconvenient for customers. If you are inconvenienced by a solicitation, please inform this fact to the person in charge.

The Company will make its best efforts to ensure the contents of newspaper advertisements and homepage presentations are appropriate.

Business hours of the Company are from 8:45 to 17:30.

3. Other items in order to assure appropriate solicitation

The Company will make its best efforts to enhance its internal control system to encourage proper solicitation in compliance with applicable laws and regulations such as, the Financial Instruments and Exchange Law, the laws relating to Investment Trust Management and Investment Vehicles, and other relevant laws.

Officers and employees of the Company endeavor to acquire additional knowledge and skills, as well as review the requirements for maintaining the confidence and for meeting the expectations of customers.

The Company endeavors to provide the proper information to customers so that transactions can be carried out at the customer’s discretion and responsibility.

The Company conducts sufficient internal training of its officers and employees to prevent improper solicitations. If you have an opinion or wish to comment, please contact the relevant telephone number stated below.

If you have any questions regarding your transaction, please also contact the relevant number below.

Contact Numbers

  • Regarding Investment Advisory, Discretionary Mandates, Intermediary services for entrustment of transactions and dealing of Private Placement:
    Institutional Sales Department, 03-5156-5746

  • Regarding Investment Trust Management:
    Retail Sales Department, 03-5156-5247
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Last Update: April 24, 2019
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