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)
- Account Segregation - CSDR Disclosure