Solicitation Policy

The firm adopts SMBC Nikko Securities’s solicitation policy as general guidance for sales activities. However, compliance to Indonesian laws and regulations is the basic principle, that in the event of inconsistency between this policy and Indonesian laws and regulations, the Indonesian laws and regulations will prevail.

Securities investment/investment products are executed based upon customer’s own judgment, responsibilities and instruction. The Firm, in understanding that customer’s trust is the greatest assets we can have, endeavors to provide customers with adequate information to enable customers to engage in transactions based upon their own responsibilities.

Appropriate Solicitation

  1. The Firm endeavors to solicit a customer for a product which is suitable to the customer, having an understanding the customer’s knowledge, investment experience, investment purposes and financial capabilities.
  2. The Firm endeavors to provide the customer with an explanation of the details of products.
  3. The Firm does not solicit a customer making phone calls or visits during a time zone which is inconvenient to the customer.

Maintenance of Appropriateness of Solicitation

  1. The Firm provides its officers and employees with sufficient internal training for the purpose of appropriate solicitation being made by them and they, themselves, always endeavor to acquire knowledge and study profoundly to maintain it.
  2. The Firm endeavors to enforce its internal control structure in compliance with Indonesian Capital Market Law and other relevant laws and regulations.
  3. The Firm endeavors to listen to customer’s opinion / advice on transactions.