Code of Conduct - Investment Advice in Japan

In Japan, IFG Asia Limited is registered as an Investment Advisor with the Kantoh Finance Bureau No. 487 and maintains a strict code of practice within Japanese law

IFG Asia – Code of Conduct

IFG Asia adheres to regulation in Japan and commits to the highest operational standards in order that our clients receive professional service. IFG Asia Limited will solicit its financial planning services in line with the following code of conduct:-

1. We aim to provide prospective clients with relevant information regarding the various financial products and/or services offered through IFG Asia Limited and to provide easily understandable explanations regarding these products and/or services both verbally and in writing.

2. We give advice on products and services that we determine to be suitable for prospective clients, based on a comprehensive client questionnaire to quantify their financial situation and future objectives. Consideration is also given to existing portfolios before any investment advice is given.

3. We detail all risks and fees that may be associated with the financial planning services offered by IFG Asia. These are clearly set out in a personalized Investment Advisory report and re-confirmed before any investment decision is made. Based on this information, prospective clients should then make their own conclusions on the proposed services.

4. In addition to the initial consultations with our clients, IFG Asia’s Investment Advisors commit to contacting and meeting their clients on a mutually agreed regular basis.

5. IFG Asia’s advisors seek to provide clients with timely and accurate information throughout the Client/Advisor relationship. IFG Asia places great emphasis on ongoing service and are committed to ensuring a mutually beneficial business relationship.

6. We maintain internal control systems to ensure compliance with relevant legal and regulatory laws. Random internal compliance checks are also conducted to ensure that IFG Asia’s Investment Advisors are maintaining the highest level of professional advice.