Suara Capital Partners株式会社（以下「当社」）は、自己資金による投資運用および非金融分野の関連サービスを営む法人として、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。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、投資運用業、第二種金融商品取引業等）のいずれの登録も受けておらず、また現時点においてその登録取得の計画もございません。したがって、第三者からお預かりする資金の運用、投資助言・代理行為、および同法上の登録を要する業務は一切行いません。それでもなお、法人としての信頼性・透明性を高め、取引先金融機関や関係各位、ならびに当社の非金融サービスをご利用いただくお客様に安心感を提供するため、内部管理体制に関する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」、「中立性の堅持」、「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、自己資金運用に専念し第三者資金を取り扱わないことに加え、提供する非金融サービスにおいても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するため、利益相反管理の方針を策定し、潜在的な利益相反のおそれがある事項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、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. 中立性の堅持
当社は投資助言業務を行わないため、特定の金融商品の推奨や売買タイミングに関する助言は一切いたしません。一方、当社が提供する家計・財務リスク分析や小規模事業再生支援等の非金融サービスにおいては、中立性を業務運営の基本原則として堅持いたします。当社は、お客様それぞれの知識・経験・財産の状況・ご希望を十分に把握・確認した上で、お客様のニーズと状況に適合した中立的な情報提供および分析結果のご説明のみを行います。
特定の金融機関・証券会社等からの紹介手数料やコミッションは一切受け取らず、お客様の状況に照らして不適切と判断される事項についてはその旨を率直にお伝えします。市場動向や一般的なリスク特性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お取引が進むことのないよう努めます。常にお客様の最善の利益を念頭に置いた中立的なサービス提供により、お客様からの信頼に応えてまいります。中立性の堅持により、当社のサービスにおける説明責任を果たし、公正で透明性の高い業務運営を実現します。
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、当社が自己資金運用および業務遂行の過程で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、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自己資金運用と関連サービスを提供してまいります。
Suara Capital Partners, Corp. (hereinafter "the Company") is a corporation engaged in the management of its own proprietary capital and related non-financial services, and is committed to regulatory compliance and the establishment of sound management practices. The Company is not registered for any financial instruments business (including Investment Advisory/Agency Business, Investment Management Business, or Type II Financial Instruments Business) under the Financial Instruments and Exchange Act, and currently has no plans to seek such registration. Accordingly, the Company does not manage funds entrusted by third parties, provide investment advisory or agency services, or engage in any activities requiring registration under the Act. Nevertheless, in order to enhance our reliability and transparency as a corporation, and to provide reassurance to our business partner financial institutions, related parties, and clients who use our non-financial services, we have formulated and published this Basic Policy concerning our internal management framework. 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," "Maintenance of Neutrality," 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
In addition to concentrating on the management of our own proprietary capital and not handling any third-party funds, the Company has established a Conflicts of Interest Management Policy and developed a framework to appropriately manage matters with potential conflicts of interest in our non-financial services as well. 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. Maintenance of Neutrality
Because the Company does not engage in investment advisory business, we never recommend specific financial products or provide advice on trading timing. In our non-financial services such as household and financial risk analysis and small-business revitalization support, however, we uphold neutrality as a fundamental principle of our operations. The Company will thoroughly understand and confirm each client's knowledge, experience, financial situation, and wishes, and provide only neutral information and explanations of analysis results that are suitable for the client's needs and circumstances.
We do not accept any referral fees or commissions from specific financial institutions or securities companies, and where we determine matters to be unsuitable in light of a client's situation, we will candidly communicate that view. We also clearly explain market trends and general risk characteristics, and make efforts to ensure that engagements do not proceed without clients properly understanding the content. By consistently keeping our clients' best interests in mind through neutral service provision, we will respond to our clients' trust. Through the maintenance of neutrality, we will fulfill our accountability for our services and realize fair and highly transparent business operations.
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 managing its own capital and conducting its 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 and use 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 society. In any situation, we will comply with laws and norms, and foster a sound corporate culture to provide proprietary capital management and related services that give you peace of mind.
