勧誘方針
株式会社ナナホシマネジメント（以下「弊社」といいます。）は、金融サービスの提供及び利用環境の整備等に関する法律第10条に基づき、弊社が無限責任組合員を務める投資事業有限責任組合（以下「組合」といいます。）の持分の取得の勧誘について、以下の通り勧誘方針を定めます。
1勧誘の対象となる者の知識、経験、財産の状況及び当該金融商品の販売に係る契約を締結する目的に照らし配慮すべき事項
弊社は、金融商品取引法第63条の適格機関投資家等特例業務として、組合の持分の取得の勧誘を行います。勧誘の相手方は、適格機関投資家および法令で定める特例業務対象投資家に限ります。勧誘に先立ち、相手方がこの要件を満たすことを確認します。
弊社は、相手方の知識、経験、財産の状況および出資の目的を把握し、これらに照らして適切と考えられる場合に限り勧誘を行います。
組合の投資対象、運用の方針、元本欠損のおそれを含む投資のリスク、費用、出資の払戻し及び持分の譲渡に関する条件その他の重要な事項については、出資に係る契約の締結前に、相手方に理解されるために必要な方法及び程度で説明します。
2勧誘の方法及び時間帯に関し勧誘の対象となる者に対し配慮すべき事項
勧誘は、電子メール、面談、オンライン会議その他の適切な方法で行います。勧誘に当たっては、相手方の意向や都合に配慮し、適切な方法及び時間帯を選びます。
相手方が勧誘を望まない旨を示したときは、勧誘を続けません。
不確実な事項について断定的な判断を示すこと、または確実であると誤解させるおそれのある説明をすることはしません。
3その他勧誘の適正の確保に関する事項
弊社は、金融商品取引法、金融サービスの提供及び利用環境の整備等に関する法律その他の関係法令を遵守し、適正な勧誘を行います。
相手方が自らの判断と責任で出資を決められるよう、正確な情報を提供します。
勧誘の相手方の要件の確認その他の勧誘に関する記録を作成し、保存します。
本方針を変更したときは、速やかに公表します。
ご連絡先
勧誘に関するご意見、苦情その他のお問い合わせは、下記のリンクよりお願いいたします。
The Japanese text is the original, and the English text is for reference purposes. The Japanese text shall prevail if conflict or inconsistency exists between these two texts.
Reference translation
Solicitation Policy
Nanahoshi Management Ltd. (hereinafter referred to as "the Company") establishes the following solicitation policy, pursuant to Article 10 of the Act on the Provision of Financial Services and the Development of the Environment for Their Use (Act No. 101 of 2000), with respect to the solicitation of interests in investment limited partnerships of which the Company is the general partner (hereinafter referred to as the "Partnership").
1Matters to be taken into consideration in light of the knowledge, experience and financial condition of the persons subject to solicitation, and the purpose of their entering into the contract
The Company solicits interests in the Partnership as a specially permitted business for qualified institutional investors, etc. under Article 63 of the Financial Instruments and Exchange Act. Solicitation is limited to qualified institutional investors and investors who satisfy the requirements prescribed by laws and regulations for that business. Before soliciting, the Company confirms that the person satisfies those requirements.
The Company ascertains the person's knowledge, experience, financial condition and purpose of investment, and solicits only where it considers solicitation appropriate in light of these.
Before the conclusion of a contract for the contribution, the Company explains the Partnership's investment targets, investment policy, investment risks including the risk of loss of principal, costs, conditions relating to the withdrawal of contributions and the transfer of interests, and other important matters, by a method and to a degree necessary for the person to understand them.
2Matters to be taken into consideration for the persons subject to solicitation with regard to the means and timing of solicitation
The Company solicits by e-mail, meetings, online meetings and other appropriate means. In soliciting, the Company gives consideration to the person's wishes and convenience, and chooses an appropriate means and time of day.
The Company does not continue to solicit a person who has indicated that they do not wish to be solicited.
The Company does not provide conclusive judgements on uncertain matters, nor explanations that could mislead a person into believing that something is certain.
3Other matters for ensuring the appropriateness of solicitation
The Company complies with the Financial Instruments and Exchange Act, the Act on the Provision of Financial Services and the Development of the Environment for Their Use and other applicable laws and regulations, and conducts solicitation appropriately.
The Company provides accurate information so that each person can decide whether to invest on their own judgement and responsibility.
The Company prepares and retains records relating to solicitation, including confirmation that the persons solicited satisfy the applicable requirements.
If the Company amends this policy, it will promptly make the amended policy public.
Contact
Please use the link below for any comments, complaints or other enquiries regarding solicitation.