Unison Capital Partners, Ltd. - Solicitation Policy

The company hereby sets forth its policy concerning soliciting activities in accordance with Article 9 (formulation of solicitation policy) of the Law concerning the Sale of Financial Products as follows.

1. Matters to be considered in relation to the financial circumstances, knowledge and experience of the customer as well as the purpose of contracts made regarding the financial products being solicited.

The company will undertake solicitation that conforms with the customer's intentions, and takes into account the customer's knowledge, investment experience, investment goals and assets, as well as risk tolerance.

2. Matters to be considered in relation to solicitation method and hours.

The company will endeavor to solicit at a time and place that is convenient to the customer.
The company will endeavor to provide accurate information relating to financial products, and pay adequate attention and consideration to presentation methods.

3. Other matters regarding appropriateness of solicitations.

The company will undertake appropriate solicitations in accordance with applicable laws, regulations and guidelines relating to financial products, as well as enhance its internal management systems.
The company will endeavor to deal with customer enquiries swiftly and appropriately.
In order to undertake appropriate solicitation, the company will provide internal education and training to employees, and endeavor to constantly improve knowledge and skills of employees in this area.