1. Nippon Institutional Securities’ Complaint Handling

  1. Nippon Institutional Securities upholds its “Regulations Concerning the Handling of Complaints and Disputes” by responding quickly and appropriately to customer complaints so that customers may gain an understanding of the situation.

    Nippon Institutional Securities’ point of contact for complaints and other issues is as below:

    - For issues regarding solicitation: 03-6447-6080

    (Open weekdays between 09:00-17:00; not open weekends and public holidays.)

  2. Nippon Institutional Securities also resolves complaints through the below organization, which also handles complaints from customers as a designated dispute resolution organization that concludes basic contracts for the implementation of procedures regarding specified type I financial instruments businesses. The organization’s contact information is as below:

    Financial Instruments Mediation Assistance Center
    Address: 〒103-0025 Daini-Shouken Kaikan Bldg, 2-1-1 Nihombashi-kayabacho, Chuo-ku, Tokyo
    Phone: 0120-64-5005 (toll free) (Open weekdays between 09:00-17:00; not open weekends and public holidays.)

    The standard process for resolving complaints at the center is as below. Contact the center for further details.

    1. Customer makes a complaint.
    2. Complaint towards member firm is mediated.
    3. Issue is discussed with customer and member firm, and then resolved.

2. Nippon Institutional Securities’ Dispute Resolution

Nippon Institutional Securities resolves disputes via mediation performed by the Financial Instruments Mediation Assistance Center, which it is a member of. The center handles mediation as a designated dispute resolution organization that concludes basic contracts for the implementation of procedures regarding specified type I financial instruments businesses with mediation officers. Use the contact information above to resolve disputes with Nippon Institutional Securities through the center.

The standard process for mediation at the center is as below. Contact the center for further details.

  1. Customer submits a mediation request form.

  2. Mediation request form accepted and mediation officer selected.

  3. Customer pays mediation request fee.

  4. Mediation officer holds hearings with customer and member firm.

  5. Mediation procedures proposed and accepted.