Bayview Asset Management

Solicitation Policy

  1. Clients

    Bayview Asset Management Co., Ltd. ("BVAM") strives to identify clearly the suitable and appropriate products and services to be offered based on the purposes of investment, financial condition, expertise and investment experience each client has.

  2. Explanation of products

    BVAM strives to have its clients understand the details of the products and the risk inherent to such investment by distributing appropriate written materials and other means applicable in order for the clients to make their own responsible judgment of investment decisions.
    In certain cases of clients with discretionary investment management agreement in place, we may omit the detailed explanation at the time of discretionary investment decision with the prior confirmation of the overall intention of the clients.
    Even in the case where the each individual explanation are not necessary, the clients are more than welcomed to contact the client service staff to ask any questions the clients may have. Our clients service staff will respond promptly to any inquiries from the clients.

  3. Means of solicitation and time

    BVAM makes sure none of our staff contacts the clients in the hours not desirable for the clients, late at night or early in the morning by visiting or making phone calls without the clients prior consent. In making solicitation, BVAM makes sure its staff will not provide decisive and/or erroneous statement that may mislead the clients.

  4. Compliance

    BVAM complies with the Investment Advisory Laws, Securities Exchange Laws, Financial Services Solicitation Laws, Consumer Contract Laws and others that are related to the business the company carries out.

  5. Organization

    BVAM strives to maintain this Solicitation Policy and has its management and other personnel exercise the Policy by giving suitable training program to strengthen their understanding of the products and the services the company offers.

  6. Inquiries

    Should you have any queries, please contact the Compliance Office (Tel: +813-5210-3342).

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