Nomura Real Estate Development Co., Ltd.

Information regarding transactions of financial products

Solicitation policy in sales of financial products

While complying with the "Act on Sales of Financial Products" and other various regulations and rules related to the subject, our company has defined the solicitation policy listed below based on the "Act on Sales of Financial Products," and in accordance with the policy, we will properly solicit the customers to offer financial products.

Solicitation policy

By giving comprehensive consideration to the items we learned from the customers such as the customers' knowledge on financial products, their investment experience, status of their financial assets and the purpose of concluding a contract to obtain financial products, we will strive for proper solicitation and advice.

We will make an effort to have the customers correctly understand the critical items regarding the "Act on Sales of Financial Products." We will strive to fully and accurately explain the details of products, risks and such so that the customers themselves can make appropriate investment decisions.

We will do our best to provide accurate information so as not to cause misunderstanding by the customers.

When there are inquiries from customers, we will strive to respond promptly and appropriately. Furthermore, we take opinions / requests of our customers very seriously, and they will be utilized for solicitation and advice.

We will give full consideration to the times, the locations and the methods of solicitation / advice so as not to trouble our customers.

In order to conduct proper solicitation and provide appropriate advice, we will try to enhance the education program within the company and our in-house training program.

If you have any concern regarding solicitation / advice, please contact the office in transaction.

Advertisement display based on the Financial Instruments and Exchange Act

Identification of financial instruments business operator Nomura Real Estate Development, Co., Ltd. Kanto Finance Bureau Director (Financial instrument business) No. 1438
(Business operations handled) Type II Financial Instruments Business

Fees and others paid by customersIn contracts involving financial product transactions, compensations such as fees customers pay to our company are determined individually based on the specific products, the content of the contract and so forth.

Investment risksThe financial products handled by our company such as "real estate trust beneficiary rights" and "equity in silent partnership investment" are products with risks that could incur a loss exceeding the principal amount due to reasons such as a decline in rental market value or land price related to the real estate which is the underlying asset of the said investment, a decline in tenant occupancy rate involving the subject real estate and value fluctuations caused by defect, damage and aging of the subject real estate or natural disaster, and these risks are borne by the customers.

Receipt of complaints regarding transactions of financial products and dispute settlements

We take the customers' complaints and inquiries regarding financial product transactions very seriously, and we will try our best to earn customers' understanding by giving thorough explanations.


Administration Dept.
Commercial Property Development and Management Division
Phone / (03)3348-8144
Hours of operation / Monday to Friday, from 9am to 5:40pm
(Closed on weekends, holidays, the year-end and New Year's Holiday)

If the customers' are not convinced with how we handle the case, the Financial ADR System (alternative dispute resolution system) is available in accordance with the Financial Instruments and Exchange Act to handle complaints / settle disputes through a fair and neutral third party institution.
At our company, in order for our customers to effortlessly utilize the Financial ADR system, receipt of complaints and dispute resolution procedure are entrusted to the third-party institution listed below.

A detailed explanation of the financial ADR system (dispute settlement procedure system outside judicial) is here

The institution for receiving complaints and settling disputes related to Type II financial instruments business

Please see FINMAC's website for more detail.
Name Financial Instruments Mediation Assistance Center (FINMAC), a specified non-profit organization
Location Daini Shoken Kaikan, 2-1-1 Nihonbashi Kayaba-Cho, Chuo-Ku, Tokyo
Phone (0120)64-5005
Hours of operation Monday to Friday, from 9am to 5pm (Closed on weekends, holidays, the year-end and New Year's Holiday)
License, etc. Certified Investor Protection Organization (Financial Instruments and Exchange Act)
Authorized ADR institution (Act on Promotion of Use of Alternative Dispute Resolution)

Financial ADR System (alternative dispute resolution system)

Purpose of the systemThe purpose of this system is to promote "simple" and "prompt" resolution through a third party institution outside the courtroom by developing the procedure for resolving customer complaints on financial product transaction and disputes with financial instruments business operators.

Operation details of the 3rd party institutions and their neutralityThe third party institution provides consultations or receives complaints from customers regarding financial products transactions with financial instruments business operators, and the institution tries to help resolve the troubles by acting as an intermediary. Furthermore, the institution conducts dispute settlement operations such as mediation and arbitration to resolve conflicts when necessary. In order to ensure the fairness and neutrality of these procedures, the institution that implements the procedures must meet a certain requirement (such as it must be certified as a Certified Investor Protection Organization by the Prime Minister) based on the Financial Instruments and Exchange Act.

Points to remember for using the financial ADR systemCustomers can decide whether or not to utilize the third party institution contracted by our company at their own discretion, and the use of the process can be stopped at any time, even after they have started working on a case. When a customer requests the third party institution to conduct dispute settlement operations such as mediation and arbitration, the customer will be responsible for the costs such as a petition fee, deadline implementation fee and dispute settlement fee specified by the third party institution based on the amount subject to the dispute and the number of meetings held for the resolution process. (The cost is different for each institution, and it fluctuates by various factors. Please contact each institution for more detail.)

Ban on any relation with anti-social forces

Our company will "never conduct any transactions with anti-social forces or groups," and it is our basic policy to cut off any relationship with anti-social forces. Based on this basic policy, we have developed a manual for a specific process, and at the same time, as the internal system, we have designated a Department to promote organizational response and the person in charge of countering unjustified demands. Furthermore, while establishing close relationships with outside experts such as Actyers and the police and consulting with them as needed, we are working on activities to prevent involvement of anti-social forces in management activities and to prevent damages by the said forces.