Regulations on the Handling
of Complaints and Disputes
Basic Policy
Globe Advisors Co., Ltd. (“the Company”) and its officers and employees shall handle all client complaints sincerely and appropriately in accordance with applicable laws and regulations and the Company’s “Regulations on the Handling of Complaints and Disputes.” Pursuant to legal requirements, the Company hereby discloses an outline of these regulations.
Definition of Complaints
For the purposes of these regulations, a “complaint” refers to any expression of dissatisfaction regarding the Company’s overall operations, including but not limited to the services provided by the Company.
Department Responsible for Oversight
The Internal Management Department is designated as the department responsible for the oversight of complaint-handling operations. All other departments shall comply with the instructions and directives issued by the Internal Management Department.
Investigation Procedures
Upon receipt of a complaint from a client, the relevant department shall promptly initiate an investigation into the facts. During the investigation, the responsible department may request the cooperation of other departments as necessary to ensure an accurate and comprehensive review.
Prevention of Recurrence
The Company shall analyze the root causes of complaints received and utilize the findings to prevent similar issues from arising in the future.
Contact Information
Internal Management Department
Globe Advisors Co., Ltd.
9th Floor, Ark Hills South Tower
1-4-5 Roppongi, Minato-ku, Tokyo 106-0032, Japan
Management of Client Information
When a complaint is filed, the Company may confirm the client’s name, telephone number, and other contact details.
The handling of such personal information shall be conducted in accordance with the Company’s Privacy Policy.
Records concerning the details of complaints, relevant circumstances, and the Company’s response process shall be prepared and retained by the Company.
Dispute Resolution Procedures
In the event that a dispute arises between a client and the Company, the Company has entered into agreements with the following extrajudicial dispute resolution organizations established by the Tokyo Bar Association, the First Tokyo Bar Association, and the Second Tokyo Bar Association: