Statement on Legal and Regulatory Compliance

Suara Capital Partners, Corp. (the “Company”) places the highest priority on compliance with the Financial Instruments and Exchange Act of Japan and all other applicable laws and regulations and hereby makes the following declarations.

  1. Declaration Regarding Non-Registration as a Financial Instruments Business Operator

    1. Non-registration The Company is not registered in any category of financial instruments business, including investment advisory and agency business, investment management business or Type II financial instruments business.
    2. Articles of incorporation and Company policy The Company’s articles of incorporation and certificate of registered matters list “financial instruments business” among its business purposes. That listing is only a statement of a corporate purpose and does not indicate that the Company is registered as a financial instruments business operator or conducts any activity requiring registration. The Company does not intend to obtain registration as a financial instruments business operator and will not do so in the future. It does not solicit, accept, hold or manage third-party funds; provide investment advisory or agency services; intermediate or solicit financial products; or conduct any other activity requiring registration.

  2. Declaration Regarding Use of Proprietary Funds Only

    1. No handling of third-party funds The Company does not engage in self-offering of interests in funds, self-management of assets contributed by third parties, management of client assets under discretionary investment management agreements or any other activity involving third-party funds.
    2. No investment advice The Company declares that it does not provide any individual or corporation, for compensation, with recommendations regarding particular securities, transaction timing or similar investment matters. If any third party asks the Company to provide investment advice or to accept and manage funds, the Company will decline every such request.
    3. Operations at the Company’s own risk and with its own funds All investment activities, trading and business acquisitions undertaken by the Company are conducted solely with the Company’s own funds and at its own responsibility.

  3. Compliance with Laws and Regulations

    1. Compliance with applicable laws The Company complies with the Financial Instruments and Exchange Act, the Companies Act, the Penal Code, the Civil Code and all other applicable laws and regulations and does not engage in misconduct that could undermine the trust of third parties.
    2. Internal control and compliance rules The Company has established compliance rules and risk-management rules and rigorously implements measures including the exclusion of antisocial forces and the prevention of money laundering.
    3. Avoidance of unregistered regulated activities The Company does not engage in conduct constituting investment advisory or agency business, solicit, accept, hold or manage third-party funds, intermediate or solicit financial products, or perform any other activity requiring registration under the Financial Instruments and Exchange Act. The Company will continue to refrain from these activities and will strictly avoid any conduct that could constitute unregistered business.

  4. Exclusion of Antisocial Forces

    1. Policy of exclusion The Company maintains a strict policy of having no transactions or relationships with organized crime groups, companies associated with such groups, corporate racketeers or any other antisocial force.
    2. Monitoring and appropriate response If a business partner or related party is suspected of involvement with an antisocial force, the Company will immediately discontinue the relevant transaction and, when necessary, contact the police or an appropriate specialist organization.

  5. Future Initiatives

    Without proceeding on the assumption that it will obtain registration as a financial instruments business operator, the Company will continue the following initiatives to strengthen legal compliance and its internal management framework within its current scope of business:

    • Strengthening internal controls: expanding and periodically reviewing compliance and risk-management rules
    • Coordination with external professionals: maintaining compliance while obtaining advice from tax accountants, attorneys, administrative scriveners and other specialists
    • Transparency of disclosures: disclosing investment performance only within the context of proprietary investment and avoiding expressions that could cause misunderstanding

  6. Disclaimers and Important Notes

    • All information on the Company’s website is provided for reference only. Viewers must make investment decisions at their own responsibility.
    • The Company is not registered as a financial instruments business operator and does not provide investment advice or solicit, accept, hold, administer or manage third-party funds.
    • The Company will not obtain registration as a financial instruments business operator in the future and will not accept any request or application relating to investment advice, management of third-party funds or any other activity requiring registration.

  7. Revision or Withdrawal of this Declaration

    • The content of this declaration may be reviewed and revised as appropriate in response to amendments to applicable laws, changes in the Company’s business or internal structure, or similar circumstances.
    • Any revision will be announced on the Company’s website.