Fiduciary Duty in Practice

「本システムについては、段階的に機能を拡充する計画です。当社は、お客さま一人ひとりの資産全体に目を配った提案を継続的にお届けすることで、お客さま本位の業務運営のさらなる徹底に取り組んでまいります。」

「Tokai Tokyo Securities Co., Ltd. continues to measure customer satisfaction using NPS®(*) to support the implementation of customer-oriented business conduct.」

「Tokai Tokyo Securities Co., Ltd. received the highest rating of 3 stars in both the “Contact Center” and “Web Support” categories of the “HDI Rating Benchmark (2025),” provided by HDI-Japan, the Japanese arm of HDI, the world’s largest membership organization in the support services industry.」

「In September, Tokai Tokyo Securities received the highest rating of 3 stars in both the “Contact Center” and “Web Support” categories of the HDI Rating Benchmark (2023), provided by HDI-Japan, the Japanese arm of HDI, the world’s largest membership organization in the support services industry. This was the seventh consecutive 3-star rating over 2 years in the “Contact Center” category and the seventh 3-star rating in the “Web Support” category.」

「In September, Tokai Tokyo Securities received the highest rating of 3 stars in both the “Contact Center” and “Web Support” categories of the HDI Rating Benchmark (2023), provided by HDI-Japan, the Japanese arm of HDI, the world’s largest membership organization in the support services industry. This was the seventh consecutive 3-star rating over 2 years in the “Contact Center” category and the seventh 3-star rating in the “Web Support” category.」

「Regarding the sale of structured bonds by our Group, we are thoroughly implementing customer-oriented sales by complying with strict suitability standards at the time of sale based on the guidelines of the Japan Securities Dealers Association. We have also established a monitoring framework involving management and will continue conducting rigorous checks on sales conditions.」

「Based on the “2022 Policy for Financial Administration” disclosed by the Financial Services Agency, going forward we will implement our Group’s sales policy for structured bonds more rigorously than before. The policy calls for fully confirming customers’ investment objectives and risk tolerance, as well as the appropriateness and suitability of the investment products, and ensuring that customers have an appropriate understanding of them.」

「In the “R&I Evaluation of Investment Trust Sales Companies for Customer-Oriented Business Conduct” conducted by Rating and Investment Information, Inc. (R&I), Tokai Tokyo Securities received an “S+” rating, an upgrade from the previous “S” rating.」

「In the “R&I Evaluation of Investment Trust Sales Companies for Customer-Oriented Business Conduct” conducted by Rating and Investment Information, Inc., we received an “S” rating, an upgrade from the previous “A+” rating.」

「By thoroughly implementing customer-oriented business conduct, we will continue supporting the association so that we can strengthen customer trust and contribute further to the stable asset building of individuals.」

「We also launched a securities-backed loan service that enables proposals addressing short-term funding needs, and received an “A+” rating in the “R&I Evaluation of Investment Trust Sales Companies for Customer-Oriented Business Conduct” from Rating and Investment Information, Inc. Through the provision of various services and initiatives related to customer-oriented business conduct, we will continue contributing to the realization of customers’ enriched life management.」

「At Tokai Tokyo Securities Co., Ltd., we strengthened our organizational structure by establishing the Fiduciary Duty Committee, the Fiduciary Duty Headquarters and the Fiduciary Duty Supervisory Department as specialized organizations responsible for promoting and verifying customer-oriented business conduct across the company, effective 1 January 2019.」

「Regarding the “Common KPIs for Sales Companies of Investment Trusts that Allow Comparisons,” published by the Financial Services Agency in June, our subsidiaries Tokai Tokyo Securities Co., Ltd. and Takagi Securities Co., Ltd. disclosed their results as of the end of March 2018 based on each indicator.」

「In line with this mission, we formulated the “Policy on Initiatives for Customer-Oriented Business Conduct” to further improve customer-oriented services, and are working to establish specific internal action plans and a monitoring framework.」

「As a Group company primarily engaged in the financial instruments business, we will also work to put fiduciary duty into practice.」