Principles and Policies Concerning Customer-Oriented Business Operations

1. Determination and Publication of Principles and Policies Regarding to Customer-Oriented Business Operations

GCM Co., Ltd. sets forth the following “Management Philosophy”.
“In order to quickly and accurately grasp diversifying and specializing of investors’ needs in Japan and the Asian region, GCM is focusing on creating value and technology sustainably that provide the best solution to our customer possible”.
Our Management Philosophy contains the “three Ss”
・Specialty (expertise)
・Speed (quick action · response)
・Strategy (Strategy)
We declare the above mentioned “Principals and Policies of Customer-Oriented Business Operation” here.

2. Focusing on the Best Solution to Our Customer.

Based on Integrity, Fairness and Impartiality, we focus on providing the best solution to our customer as we maintain our ethics and enhance high expertise in our broad business domain.

3. Management of Conflict of Interest

In order to prevent conflicts of interest with customers, we grasp the potential conflicts of interest in the selection and sale of financial products. If we identify conflict of interest transactions, we will establish a structure to take appropriate measures to protect our customers’ benefit.

4. Clarification of Fees

We endeavor to explain concrete details of the fees and other costs that customers will pay, before starting transactions and by issuing “Document Delivered Prior to Conclusion of a Contract”.

5. Clear Explanation of Important Information

We think of our customers’ investment experience and investment style, and explain the important information such as the characteristics, risks and costs of financial products offered by us in a fair and sincere manner.

6. Suitable Service for Customers

We will enhance our products and services to meet the diverse needs of customers. We will provide appropriate information and supports so that each customer can find investment products matching their business style, and strive to build an optimum trading environment.

7. Appropriate Motivational Framework for Executives and Employees

We considers “Providing Truly Valuable Financial Services for Our Customers” as one of the important goals of executives and employees. In order to continue to meet this target, we set our management philosophy, through the development of internal regulations such as ethics and so on. Through the execution of personnel training to ensure strict operation of them and the internal and external auditing system, we will promote the practice of basic principles and policies concerning business management.