Compass Asset Management Co., Ltd.
Director-General of the Kanto Local Finance Bureau (Kinsho) No. 3424

The Company engages in Type II Financial Instruments Business and Investment Advisory and Agency Business.

The Company is a member of the Type II Financial Instruments Firms Association and the Investment Management Association of Japan.

Any fees, remuneration, or other consideration payable by customers to the Company in connection with a Financial Instruments Transaction Contract shall be determined through consultation, taking into account the specific product involved and the form of contract.

Securities handled by the Company, including real estate trust beneficiary rights and rights pertaining to contributions under silent partnership agreements, may incur losses due to fluctuations in the price of real estate or other assets that constitute the ultimate investment target, changes in leasing performance, fluctuations in interest rates, and other factors.In addition, neither principal nor yield is guaranteed.

Accordingly, any risk that the value of the invested securities falls below the principal amount shall be borne by the customer.

Compass Asset Management Co., Ltd. (hereinafter referred to as the “Company”) has established the following Solicitation Policy pursuant to the Act on the Provision of Financial Services and the Development of Environment for Using Financial Services. In order to provide customers with better products and services, the Company shall comply with the following provisions, conduct the sale and solicitation of financial products appropriately, and respond to customers responsibly.

1. Matters to be Considered in Light of the Knowledge, Experience, Financial Condition, and Purpose of Contracting of the Person Subject to Solicitation

・ In soliciting and entering into contracts for the sale, intermediation, and agency of financial products such as real estate trust beneficiary rights, the Company shall endeavor to provide appropriate advice and explanations in light of the customer’s knowledge, experience, financial condition, and understanding of the purpose of entering into the relevant contract for the sale of financial products.

・ In order to enable customers to make transactions based on their own judgment and responsibility, the Company shall endeavor to ensure that customers understand important matters, including product details and associated risks, by delivering written documents and by other appropriate means.

2. Matters to Be Considered in Relation to the Method and Timing of Solicitation

・ The Company shall comply with the Financial Instruments and Exchange Act, other applicable laws and regulations, and relevant guidelines, and shall conduct solicitation appropriately.

・ The Company shall endeavor not to engage in solicitation at times or places that may inconvenience customers.

3. Matters Concerning the Assurance of Appropriate Solicitation

・ The Company shall endeavor to establish and maintain an internal management system to ensure that solicitation to customers is conducted appropriately.

・ In order to ensure the appropriateness of solicitation to customers, the Company shall enhance its training system for officers and employees and strive to provide accurate product knowledge.

・ The Company shall respond sincerely to complaints and requests from customers and shall endeavor to make improvements as necessary.

The Company has established its “Rules on Complaint and Dispute Handling” and strives to respond sincerely and promptly to complaints and other requests from investors and other customers so as to obtain their understanding.

In addition, as complaint handling measures and dispute resolution measures prescribed under the Financial Instruments and Exchange Act, the Company has implemented the following arrangements for each category of business for which it is registered:

Type II Financial Instruments Business
The Company is a member of the Type II Financial Instruments Firms Association. The Association has entrusted the handling of complaints from investors and other customers concerning the financial instruments business of its members, as well as mediation services in the event of disputes, to the specified non-profit organization Financial Instruments Mediation Assistance Center (FINMAC).

Investment Advisory and Agency Business
The Company is a member of the Investment Management Association of Japan. The Association has likewise entrusted the handling of complaints from investors and other customers concerning the financial instruments business of its members, as well as mediation services in the event of disputes, to the specified non-profit organization Financial Instruments Mediation Assistance Center (FINMAC).

For complaints and applications for dispute resolution concerning financial instruments business, please contact FINMAC at the following contact point:

■Financial Instruments Mediation Assistance Center (FINMAC)

Telephone: 0120-64-5005 (toll-free nationwide)

Business Hours: 9:00 a.m. to 5:00 p.m., Monday through Friday
(excluding national holidays, including substitute holidays, and the period from December 31 through January 3)

Website: https://www.finmac.or.jp/

Complaints and other inquiries regarding the Company’s business may also be submitted to the following contact point:

■Company Contact Point for Complaints, etc.

Contact Name: Officer in Charge of Complaints Reception

Email: info@cmpscap.com