Legal Information

HSBC Securities (Japan) Co., Ltd.

• Policy in relation to Principles of Customer-Orientated Business Conduct (PDF, 271KB)
• Actions and Status Report Regarding Customer-Oriented Business Conduct (PDF, 275KB)
• Correspondence Chart Regarding Customer-Orientated Business Conduct (PDF, 329KB)
• Solicitation Policy (PDF, 155KB)
• Handling of Personal Information, etc. (PDF, 355KB)
• Best Execution Policy (PDF, 223KB)
• Professional Investor System Expiry Date (PDF, 159KB)
• HSBC Japan Policy on Conflicts of Interest (PDF, 160KB)
• Standing Firm Against Anti-Social Forces (ASFs) (PDF, 176KB)
• Handling of Complaints and Disputes and Alternative Dispute Resolution Procedures (PDF, 133KB)
• Explanatory Note on Unregistered Credit Ratings (PDF, 187KB)