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Principles of Solicitation

Deutsche Securities Inc.

Deutsche Securities Inc. will endeavor to protect the best interests of our customers and will conduct the solicitation and sale of financial products in compliance with the following principles:

  • Provide our customers with appropriate information and explanation of financial products in light of their investment objectives, knowledge, experience, and financial conditions;
  • Explain in an appropriate manner, the merits, risks and fees associated with financial products and services;
  • Not to make uninvited visits or phone calls during inappropriate hours such as late night and early morning hours;
  • Conduct the solicitation and sale of financial products in a fair and appropriate manner, and not conduct any troublesome solicitation, including making categorical decisions, misrepresentations, and misleading explanations;
  • Clearly disclose conflicts of interests with customers;
  • Strive to improve our staff training and internal control structure with a view to enhancing staff knowledge of financial products and methods of explanation.
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Last Update: March 22, 2011
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