Measures for Resolving Complaints and Disputes

Our complaint resolution procedures

1. We strive to gain the understanding of investors by responding sincerely to complaints and inquiries from investors and dealing with them swiftly and appropriately, as well as ensuring that we adequately meet our accountability obligations in addition to our internal regulations for dealing with complaints from investors.

Complaints are received through the following avenues.

Department Finance and Investor Relations Department, ORIX Asset Management Corporation
Address Nippon Life Hamamatsucho Crea Tower, 2-3-1 Hamamatsucho, Minato-ku, Tokyo 105-0013, Japan
Tel +81-3-5776-3323
(Hours: 9:00 a.m. to 5:00 p.m. JST Monday through Friday; closed on national holidays, including substitute holidays, and from December 30 to January 3)
E-mail info@oam.orix.jp

Our standard process for resolving complaints is as follows.

  1. We receive a complaint from an investor and find out the content.
  2. We consider a resolution proposal.
  3. We consult and coordinate with the investor including the presentation of the resolution proposal and resolve the issue. If resolution proves difficult after implementing (a) through (c), the procedures in (d) or (e) may be implemented, depending on the nature of the claim, and consultation and coordination with the investor will occur again.
  4. The President determines whether measures, such as a response policy, business improvement, or recurrence prevention measures, are necessary in relation to the investor's claim, after holding discussions with the officer in charge of the Risk Management and Compliance Department.
    (or)
  5. The Board of Directors determines whether measures, such as a response policy, business improvement, or recurrence prevention measures, are necessary in relation to the investor's claim, after deliberation by the Risk Management and Compliance Committee.

Furthermore, the content of claims, such as complaints, from investors is reported to the Directors, Corporate Auditors, President, and Executive Officers, and as a result of this, business improvement measures and recurrence prevention measures may be implemented if necessary.

2. In addition to Section1, above, claims, such as complaints, may be lodged with the following organization. This organization handles complaints for the Investment Trusts Association, Japan, of which ORIX Asset Management is a member, and as such, it accepts complaints from investors. If lodging your complaint with this organization, please use the following contact details.

Organization Financial Instruments Mediation Assistance Center (FINMAC)
Address 2-1-1 Nihonbashi Kayaba-cho, Chuo-ku, Tokyo 103-0025, Japan
Tel 0120-64-5005 (Toll free in Japan )
(Hours: 9:00 a.m. to 5:00 p.m. JST Monday through Friday; closed on national holidays, including substitute holidays, and from December 30 to January 3)
Website http://www.finmac.or.jp/

The Center's standard process for resolving complaints is as follows. Please refer to the Center for further details.

  1. The investor lodges a complaint.
  2. The Center acts as an intermediary between the investor and us concerning the complaint.
  3. We discuss the matter with the investor and resolve it.

Our dispute resolution procedures

We resolve disputes through mediation by the above Financial Instruments Mediation Assistance Center. The Center conducts mediation for the Investment Trusts Association, Japan, of which ORIX Asset Management is a member, and as such, mediation procedures are conducted by its mediators. If resolving disputes with us through the Center, please use the above contact details.

The Center's standard mediation process is as follows. Please refer to the Center for further details.

  1. The investor submits the application for mediation.
  2. The application for mediation is accepted and a mediator is selected.
  3. The investor pays the mediation fee.
  4. The mediator accepts submissions from the investor and the member organization.
  5. The mediation proposal is presented and accepted.

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