Suara Capital Partners株式会社（以下「当社」）は、新たに設立された投資業法人として、法令遵守と健全な経営体制の確立に真摯に取り組んでおります。現在、当社は金融商品取引法に基づく金融商品取引業（投資助言・代理業）の登録準備中であり、無登録の現段階において投資助言・代理行為等は一切行っておりません。しかし、将来の正式な登録取得を見据えて先行的に内部管理体制を整備し、法人としての信頼性・透明性を高める努力を続けています。特に監督当局や取引金融機関、さらには潜在的なお客様である個人投資家の皆様に安心感を提供するため、基本方針を策定し公開いたします。なお、本方針は既に公表している「プライバシーポリシー」「法令遵守宣誓」「代表理念」と整合性を保ちつつ策定されたものです。
当社は「利益相反の排除」、「適合性原則の厳守」、「情報管理の徹底」の三つを経営の重要な柱と位置づけ、誠実かつ公正なお客様本位の業務運営に努めてまいります。以下、それぞれの方針について具体的な指針を宣言いたします。
1. 利益相反の排除
当社は、金融商品取引法第36条第2項に基づき「利益相反管理方針」を策定し、潜在的な利益相反のおそれがある取引を適切に管理するための態勢を整備しています。これにより、お客様の利益が当社の他の利益によって不当に害される事態を未然に防止し、常にお客様の利益を最優先に考えた業務運営を確保いたします。
また、当社の役職員は（当社は現在一人社長の体制ですが、将来的な拡大を見据えて社内規程を整備済みです）、自社または第三者の利益をお客様の利益に優先させるような行為を厳に慎みます。万一、利益相反の可能性が生じる場合には、取引の回避・利害の分離・適切な情報開示等の管理措置を講じ、お客様の正当な利益が損なわれないよう万全を期します。こうした徹底した利益相反の排除により、お客様との長期的な信頼関係を構築し、当社の健全性を維持してまいります。
2. 適合性原則の厳守
当社は、金融商品取引法第40条第1号に定められた「適合性の原則」を厳格に遵守いたします。これは、お客様の立場に立った適切な助言を行うための基本原則です。当社は、お客様それぞれの投資に関する知識・経験・財産の状況・投資目的を十分に把握・確認した上で、お客様のニーズと状況に適合した助言のみを提供いたします。
また、お客様にとって不適当と判断される金融商品の勧誘や推奨は一切行いません。市場動向や商品特性のリスクについても分かりやすく説明し、内容を正しくご理解いただけないまま取引が行われることのないよう努めます。常にお客様の最善の利益を優先して助言を行うことで、投資者保護を徹底するとともに、お客様からの信頼に応えてまいります。適合性原則の厳守により、金融機関としての説明責任を果たし、公正で透明性の高いサービス提供を実現します。
3. 情報管理の徹底
当社は、業務上取り扱う全ての情報の厳格な管理を徹底し、高い水準の情報セキュリティと機密保持体制を維持します。特にお客様に関する情報の取り扱いについては、「個人情報の保護に関する法律（個人情報保護法）」その他の関連法令を遵守するとともに、当社の定めるプライバシーポリシーに基づき適正に管理いたします。お客様から取得した個人データは目的外利用を行わず、権限を付与された担当者のみがアクセスできる仕組みの下で安全に保管します。
また、当社が業務上知り得た非公開の重要情報（インサイダー情報等）の管理についても万全を期しております。金融商品取引法等に定められた機密情報の取扱規制を遵守し、社内規程によりその取得・利用・提供のルールを明確化しています。業務遂行上知り得た重要事実については、不公正な利用や第三者への漏洩を固く禁止し、違反行為を未然に防ぐためのチェック体制を整備しています。さらに、情報システム上の適切なアクセス制御や暗号化など技術的なセキュリティ対策を講じ、サイバーセキュリティと情報漏洩防止に努めています。これらの取り組みにより、お客様のプライバシー保護と市場の公正性確保の双方に十分配慮した情報管理態勢を維持いたします。
以上の方針に基づき、当社は法人としての誠実さと透明性を堅持し、ステークホルダーの皆様からの信頼に応えてまいります。今後も内部管理体制の継続的な強化と改善に努め、金融当局ならびに社会から求められる健全性・信頼性の確保に全力で取り組んでいく所存です。どんな状況においても法令と規範を遵守し、健全な企業文化を育むことで、皆様に安心していただける金融サービスを提供してまいります。
Suara Capital Partners, Corp. (hereinafter "the Company") is a newly established investment firm committed to regulatory compliance and the establishment of sound management practices. Currently, the Company is in the process of registering as a Financial Instruments Business Operator (Investment Advisory and Agency Business) under the Financial Instruments and Exchange Act, and does not engage in any investment advisory or agency activities during this pre-registration period. However, in anticipation of formal registration, we are proactively developing internal management systems and working to enhance our reliability and transparency as a corporation. We have formulated and published this Basic Policy to provide reassurance to regulatory authorities, financial institutions, and potential individual investors. This policy has been established in consistency with our previously published "Privacy Policy," "Compliance Pledge," and "Management Philosophy."
The Company positions "Elimination of Conflicts of Interest," "Strict Adherence to the Suitability Principle," and "Comprehensive Information Management" as the three pillars of our management, and strives to conduct business operations that are honest, fair, and client-centered. Below, we declare specific guidelines for each policy.
1. Elimination of Conflicts of Interest
The Company has established a Conflicts of Interest Management Policy based on Article 36, Paragraph 2 of the Financial Instruments and Exchange Act, and has developed a system to properly manage transactions that may potentially involve conflicts of interest. This ensures that our clients' interests are not unfairly compromised by other interests of the Company, and secures business operations that always prioritize our clients' interests.
Furthermore, the Company's officers and employees (while the Company currently operates with a sole president, internal regulations have been established in anticipation of future expansion) will strictly refrain from actions that prioritize the interests of the Company or third parties over those of our clients. In the event that a possibility of conflict of interest arises, we will implement management measures such as transaction avoidance, separation of interests, and appropriate information disclosure to ensure that our clients' legitimate interests are not compromised. Through such thorough elimination of conflicts of interest, we will build long-term relationships of trust with our clients and maintain the Company's soundness.
2. Strict Adherence to the Suitability Principle
The Company strictly complies with the Suitability Principle as stipulated in Article 40, Item 1 of the Financial Instruments and Exchange Act. This is a fundamental principle for providing appropriate advice from the client's perspective. The Company will thoroughly understand and confirm each client's investment-related knowledge, experience, financial situation, and investment objectives, and provide only advice that is suitable for the client's needs and circumstances.
Additionally, we will not engage in any solicitation or recommendation of financial products deemed inappropriate for our clients. We will also clearly explain market trends and product-specific risks, and make efforts to ensure that transactions do not occur without clients properly understanding the content. By consistently prioritizing our clients' best interests in our advice, we will thoroughly protect investors and respond to our clients' trust. Through strict adherence to the suitability principle, we will fulfill our accountability as a financial institution and realize fair and highly transparent service provision.
3. Comprehensive Information Management
The Company is committed to the strict management of all information handled in the course of business, maintaining high standards of information security and confidentiality systems. Regarding the handling of client information, we will comply with the "Act on the Protection of Personal Information" and other relevant laws and regulations, and manage it appropriately based on our Privacy Policy. Personal data obtained from clients will not be used for purposes outside the scope of its intended use and will be stored safely under a system where only authorized personnel can access it.
We also take every precaution in managing non-public important information (such as insider information) that the Company becomes aware of in the course of business. We comply with the regulations on confidential information handling stipulated in the Financial Instruments and Exchange Act and clarify the rules for its acquisition, use, and provision through internal regulations. We strictly prohibit unfair use or leakage to third parties of material facts learned in the course of business execution, and have established a checking system to prevent violations. Furthermore, we implement technical security measures such as appropriate access control and encryption on information systems, and strive for cybersecurity and prevention of information leakage. Through these efforts, we maintain an information management system that gives due consideration to both the protection of our clients' privacy and ensuring market fairness.
Based on the above policies, the Company will maintain integrity and transparency as a corporation and respond to the trust of our stakeholders. We will continue to work on strengthening and improving our internal management system, and commit ourselves fully to ensuring the soundness and reliability required by financial authorities and society. In any situation, we will comply with laws and norms, and foster a sound corporate culture to provide financial services that give you peace of mind.
