Announced details
Customer-oriented business conduct in the sale of investment trusts, fund wraps and other risk-bearing financial products
Obtained an “SS” rating for 2 consecutive years
Tokai Tokyo Securities is subject to R&I’s assessment. The assessment is conducted at the company’s request. Tokai Tokyo Securities is a subsidiary of Tokai Tokyo Financial Holdings, Inc.
Terrace Square, 3-22 Kanda-Nishikicho, Chiyoda-ku, Tokyo. It has an Investment Evaluation Division. Its business activities include assessing customer-oriented business conduct by financial businesses engaged in investment trust sales.
R&I Customer-Oriented Financial Sales Company Assessment: “SS”
Rating and Investment Information, Inc. (R&I)
Tokai Tokyo Securities: 7-1 Meieki 4-chome, Nakamura-ku, Nagoya. R&I Investment Evaluation Division: Terrace Square, 3-22 Kanda-Nishikicho, Chiyoda-ku, Tokyo
In this announcement the company addresses none of Contract Value / Offering price / Impact on Business Performance.
Assessment report prepared by Rating and Investment Information, Inc.
| Item | Details |
|---|---|
| Names of Products / Services Covered | R&I Customer-Oriented Financial Sales Company Assessment |
| Counterparty | Rating and Investment Information, Inc. (R&I) |
| Counterparty overview | Terrace Square, 3-22 Kanda-Nishikicho, Chiyoda-ku, Tokyo. It has an Investment Evaluation Division. Its business activities include assessing customer-oriented business conduct by financial businesses engaged in investment trust sales. |
| Relationship with the Company | Tokai Tokyo Securities is subject to R&I’s assessment. The assessment is conducted at the company’s request. Tokai Tokyo Securities is a subsidiary of Tokai Tokyo Financial Holdings, Inc. |
| Applicable area | Customer-oriented business conduct in the sale of investment trusts, fund wraps and other risk-bearing financial products |
| Award/certification name | R&I Customer-Oriented Financial Sales Company Assessment: “SS” |
| Awarding / certifying body | Rating and Investment Information, Inc. (R&I) |
| Location | Tokai Tokyo Securities: 7-1 Meieki 4-chome, Nakamura-ku, Nagoya. R&I Investment Evaluation Division: Terrace Square, 3-22 Kanda-Nishikicho, Chiyoda-ku, Tokyo |
| Usage history | Obtained an “SS” rating for 2 consecutive years |
| Source | Assessment report prepared by Rating and Investment Information, Inc. |
Items this document does not state (8)
These are items the company does not state in this document. We do not leave them blank, nor fill them in from other sources or by inference.
The reasons the company gives
The company's own explanation, not something inferred from the numbers.The company is pursuing initiatives based on its Customer-Oriented Business Conduct Policy, including management involvement, the use of customer surveys and quantitative targets, product selection and monitoring, and employee evaluation systems.