Our Solicitation Policy

UB Ventures has established the following solicitation policy in accordance with Article 9 of the Law on Sales of Financial Products and will comply with it.

  1. Matters to be taken into consideration in light of the knowledge, experience, and financial situation of the person to be solicited and the purpose of concluding a contract for the sale of such financial products
    • We will strive to solicit investments that are compatible with the client’s intentions and actual conditions, based on a thorough understanding of the client’s knowledge of financial products, investment experience, financial situation, and investment objectives.
    • We will strive to ensure that our clients correctly understand the important matters related to the Law on Sales of Financial Products.
    • We will strive to provide appropriate explanation of product details and risks in light of the client’s knowledge, investment experience, financial situation, and investment objectives so that the client can make appropriate investment decisions.
  1. Matters to be considered for persons to be solicited regarding solicitation methods and time frames
    • In soliciting, we will always place highest priority on securing the trust of our clients, complying with laws, regulations, and rules, and striving to conduct solicitation based on reasonable grounds.
    • When soliciting through advertisements, visits, and seminars, we will strive to ensure that the solicitation materials are properly displayed.
    • We will ensure that solicitations by telephone or in-person are not made at times that may cause inconvenience to our clients.
  1. Other matters to ensure appropriate solicitation
    • We will strive to improve our internal education and training to ensure appropriate solicitation to our clients.
    • To ensure that we do not betray the expectations of our clients, our staff will constantly strive to acquire and improve their knowledge and skills.
    • We will strive to strengthen our internal control system so that we can conduct appropriate solicitation in compliance with relevant laws, regulations, and rules.
    • We will strive to provide appropriate information to our clients so that they can conduct transactions based on their own judgment and responsibility.

Supplementary Provisions
These guidelines shall be implemented from June 25, 2018.