Handling of Complaints and Dispute Resolution Measures
Regalo Capital Co., Ltd.
We have established "Complaints and Dispute Handling Rules" and strive to respond sincerely, promptly, faithfully and fairly to customer complaints and other requests, seeking their understanding.
1.Internal Handling of Complaints
- Contact
- ：Internal Control Division
- Phone
- ：03-6416-4240
- ：complaint＠regalo-capital.am
The standard process for handing complaints is as follows:
- 1.
- Receipt of customer complaints
- 2.
- Investigation and consideration of the complaints by internal personnel
- 3.
- Presentation and resolution of the proposed solutions
2.Complaint Handling Measures by use of the Designated Dispute Resolution Organization for Financial Instruments Business
In addition to resolving complaints according to the process as mentioned above, we also aim to resolve complaints through the following organization.
This organization has been entrusted by the Japan Investment Advisers Association, a general incorporated association to which we belong to handle complaints from customers. To use this organization, please refer to the following contact information.
Financial Instruments Mediation Assistance Center (FINMAC)
Phone: 0120-64-5005 (toll-free)
The standard process for complaints resolution conducted by FIMAC is as follows.
- 1.
- Submission of customer complaints application
- 2.
- Referral of the complaints to the member company
- 3.
- Discussion and resolution between the customer and the member company . For more details, please inquire with FINMAC.
3.Dispute Resolution Measures by use of the Designated Dispute Resolution Organization for Financial Instruments Business
We aim to resolve disputes through mediation conducted by the aforementioned FINMAC.
FINMAC has been entrusted with mediation tasks by the Japan Investment Advisers Association, to which we belong as a member. Mediation procedures are conducted by Mediation Committee Members.
To use FINMAC for disputes resolution with us, please refer to the contact information as above.
The standard process for complaints resolution conducted by FINMAC is as follows.
- 1.
- Submission of mediation application by the customer
- 2.
- Acceptance of the mediation application and selection of Mediation Committee Members
- 3.
- Payment of the mediation application fee by the customer
- 4.
- Testimony and fact-finding by mediation committee from the customer and the member company
- 5.
- Presentation and acceptance of mediation proposals. For more details, please inquire with FINMAC
4.Association in which our Company is a member in the Financial Instruments Business etc.
Japan Investment Advisers Association Membership Number: 012-02112
FINMAC Registration Number: 175
5.Handling of Complaints and Dispute Resolution Measures by use of Designated Dispute Resolution Organization for Money Lending Business
In addition to resolving complaints in the money lending business, we also aim to resolve complaints and disputes through the following organization. To use this organization, please contact the following.
Japan Financial Services Association, Lending Business Consultation and Dispute Resolution Center
Address: Futaba Takanawa Building, 3-19-15 Takanawa, Minato-ku, Tokyo 108-0074
Phone: 03-5739-3861 or 0570-051-051 (Monday to Friday/9:00 to 17:00, excluding holidays)
Fax: 03-5739-3024
The standard process for complaints and dispute resolution conducted by the Japan Financial Services Association is as follows.
- 1.
- Receipt of customer complaints
- 2.
- Verification of facts with the customers and the member company
- 3.
- Discussions and coordination between the customer and the member company
＜If no agreement is reached in the discussion or if a dispute claim is made＞
- 4.
- Appointment of Dispute Resolution Committee Members
- 5.
- Fact-finding and opinion hearing by the Dispute Resolution Committee Members
- 6.
- Hearing
- 7.
- Presentation of settlement proposals
- 8.
- Acceptance of settlement proposals by the customer and the member company ･･･For more details, please inquire with the Japan Financial Services Association.
